throbber
UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Page 1
`
`- - - - - - - - - - - - -x
`
` ARGENTUM :
`
` PHARMACEUTICALS, LLC, :
`
`Petitioner,
`
`: Patent No. 8,268,299
`
` v. :
`
` ALCON RESEARCH, LTD., :
`
`Patent Owner. :
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`- - - - - - - - - - - - -x
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`Friday, April 13, 2018
`
`Washington, D.C.
`
`Deposition of:
`
`SOUMYAJIT MAJUMDAR,
`
`called for oral examination by counsel for the
`
`Petitioner, pursuant to notice, at the law offices
`
`of Williams & Connolly, LLP, 725 12th Street,
`
`Northwest, Washington, D.C. 20005, before
`
`Christina S. Hotsko, RPR, CRR, of Veritext Legal
`
`Solutions, a Notary Public in and for the District
`
`of Columbia, beginning at 8:42 a.m., when were
`
`present on behalf of the respective parties:
`
`www.veritext.com
`
`Veritext Legal Solutions
`
`Exhibit 1045
`ARGENTUM
`IPR2017-01053
`888-391-3376
`
`000001
`
`

`

`Page 2
`
` A P P E A R A N C E S
`O n b e h a l f o f P e t i t i o n e r :
` M I C H A E L R . H O U S T O N , E S Q U I R E
` F o l e y & L a r d n e r , L L P
` 3 2 1 N o r t h C l a r k S t r e e t , S u i t e 2 8 0 0
` C h i c a g o , I l l i n o i s 6 0 6 5 4 - 5 3 1 3
` ( 3 1 2 ) 8 3 2 - 4 5 0 0
`
` T Y L E R L I U , J . D .
` A r g e n t u m P h a r m a c e u t i c a l s
` A s s o c i a t e G e n e r a l C o u n s e l
` 1 3 4 S p r i n g S t r e e t
` N e w Y o r k , N e w Y o r k 1 0 0 1 2
` ( 6 4 6 ) 4 0 5 - 6 3 0 0
`
`O n b e h a l f o f P a t e n t O w n e r :
` A L E X A N D E R Z O L A N , E S Q U I R E
` D A V I D M . K R I N S K Y , E S Q U I R E
` W i l l i a m s & C o n n o l l y , L L P
` 7 2 5 1 2 t h S t r e e t , N o r t h w e s t
` W a s h i n g t o n , D . C . 2 0 0 0 5
` ( 2 0 2 ) 4 3 4 - 5 0 0 0
`
`1
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`9
`
`1 0
`
`1 1
`
`1 2
`
`1 3
`1 4
`1 5
`1 6
`1 7
`1 8
`1 9
`2 0
`2 1
`2 2
`2 3
`2 4
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000002
`
`

`

` C O N T E N T S
`
`EXAMINATION BY: PAGE
`
` Counsel for Petitioner 04
`
`Page 3
`
`MAJUMDAR DEPOSITION EXHIBITS: * PAGE
`
`Exhibit 1041 USPTO Files 152
`
`Exhibit 1042 USPTO Files 152
`
`Exhibit 1043 Abstract 152
`
`Exhibit 1044 Abstract 152
`
` * (Exhibits attached to the transcript.)
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`1
`
`2
`
`3
`
`4 5 6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`000003
`
`

`

`Page 4
`
` P R O C E E D I N G S
`
`Whereupon,
`
` RUSSELL WERMERS,
`
`being first duly sworn or affirmed to testify to
`
`the truth, the whole truth, and nothing but the
`
`truth, was examined and testified as follows:
`
` EXAMINATION BY COUNSEL FOR PETITIONER
`
`BY MR. HOUSTON:
`
` Q. Good morning. Would we start by having
`
`you state your full name for the record, please.
`
` A. Sure. It's Soumyajit Majumdar. I'll
`
`spell it out. S-O-U-M-Y-A-J-I-T. Last name is
`
`Majumdar, M-A-J-U-M-D-A-R.
`
` Q. Good morning, Dr. Majumdar.
`
` A. Good morning.
`
` Q. My name is Michael Houston. I'm an
`
`attorney with Foley & Lardner representing the
`
`petitioner Argentum in this proceeding.
`
` Do you understand you're here today to
`
`sit for a deposition related to a declaration that
`
`you've submitted in this proceeding?
`
` A. I do.
`
` Q. Have you sat for a deposition previously?
`
` A. Yes.
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000004
`
`

`

`Page 5
`
` Q. About how many times would you say you've
`
`been deposed?
`
` A. I don't recollect offhand, but quite a
`
`few.
`
` Q. Okay. So multiple times?
`
` A. Yes.
`
` Q. So you're familiar with sort of the
`
`process and how this works?
`
` A. Sure.
`
` Q. Okay. So in that case I'll kind of skip
`
`some of the preliminary descriptions, since you're
`
`familiar with it. But if you have any questions
`
`or if I ask any questions today that are unclear
`
`to you, please speak up and let me know.
`
` A. Sure. You might as well go over it just
`
`to make sure we were on the same ground.
`
` Q. Well, the basic ground rules are that
`
`I'll be asking you a series of questions today and
`
`you'll be giving me your answers verbally so that
`
`the court reporter can take down the things you
`
`and I say.
`
` And I would ask that unless your counsel
`
`instructs you specifically not to answer, perhaps
`
`to a privilege issue or something, that you go
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000005
`
`

`

`ahead and answer my questions to the best of your
`
`ability, even if your counsel puts an objection on
`
`Page 6
`
`the record.
`
` Do you understand that?
`
` A. I do.
`
` Q. One of the things we'll be talking about
`
`today, one of the acronyms that I'm sure we'll be
`
`using is a POSA, P-O-S-A. You're familiar with
`
`that term, correct?
`
` A. I am.
`
` Q. And at the outset I thought I would just
`
`mention that my intention is to use the same
`
`definition of a POSA that you provide in your
`
`declaration, which is a person of ordinary skill
`
`in the art as of the time of the priority date for
`
`the patent at issue here, which I believe is
`
`September 2006. Okay?
`
` A. Okay.
`
` Q. I'd like to start by talking about some
`
`of your own background and experience in this
`
`field. In particular, I'd like to know about your
`
`personal experience in developing self-preserved
`
`aqueous-based ophthalmic solutions.
`
` Can you tell me what work you've done in
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000006
`
`

`

`Page 7
`
`that area in your professional background?
`
` A. Could you just repeat that question one
`
`more time, the last part?
`
` Q. I would just like to know what work
`
`you've done in your professional background
`
`related to developing self-preserved aqueous-based
`
`ophthalmic solutions.
`
` A. So when I was working with, first,
`
`Sandoz, and then Ciba and Novartis, there were
`
`quite a few formulations we were working on which
`
`had antibacterial agents. And they were by
`
`themselves having enough activity to ward off any
`
`microbial growth. So those were some of the
`
`formulations that I worked with that were
`
`self-preserved.
`
` MR. KRINSKY: Can we go off the record a
`
`second?
`
` (Discussion off the record.)
`
` THE WITNESS: And by -- so I'll continue?
`
`BY MR. HOUSTON:
`
` Q. Yes, please continue.
`
` A. Yeah. So by self-preserved, we are
`
`meaning which does not have a conventional
`
`preservative.
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000007
`
`

`

`Page 8
`
` Q. Okay. So just to break that down a
`
`little bit, I think you said that while working
`
`for a number of companies, you worked on
`
`self-preserved ophthalmic solutions.
`
` A. While -- basically, I've been in Sandoz,
`
`which then merged with Ciba and became Novartis.
`
`So it's a series of -- the same series
`
`of companies.
`
` Q. I see what you're saying. Okay.
`
` Can you describe for me a little more
`
`detail about those self-preserved ophthalmic
`
`solutions that you worked on?
`
` A. It's been a long time, so I really don't
`
`know which agents. I can't remember which. But
`
`there were antibacterial agents in combinations
`
`with various polymers to enhance their activity.
`
`So -- but it's been -- I don't really remember
`
`offhand which ones.
`
` Q. About when was that work?
`
` A. Mostly it was once Sandoz merged with
`
`Ciba, so it was somewhere in the -- starting '95
`
`to '99, that area.
`
` Q. So going back at least to 1995 to '99,
`
`the concept of self-preserved ophthalmic solutions
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000008
`
`

`

`Page 9
`
`was already known and being worked on in the
`
`industry?
`
` A. Oh, it was -- I mean, that's my personal
`
`experience. The self-preserved was -- concept was
`
`known, that if you -- there are some formulations
`
`which could be unpreserved, and they could be
`
`self-preserved because of the components in the
`
`formulation.
`
` Q. And so the formulations you worked on,
`
`they were self -- =you said they had an
`
`antimicrobial agent in them. Was it an
`
`antimicrobial agent that was not a conventional
`
`antimicrobial agent?
`
` A. This was -- the drug itself was being
`
`used to treat infections, so they are antibiotics,
`
`and they are at a high enough concentration to
`
`kill off any contamination. So it's not to
`
`preserve the formulation. The main purpose of the
`
`drug is to treat a disease. And in that process,
`
`it preserves the formulation also because of --
`
` Q. I see.
`
` A. -- its inherent activity.
`
` Q. So in that instance, the drug itself was
`
`sort of its own preservative against microbial
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000009
`
`

`

`Page 10
`
`contamination?
`
` A. Yes. It by itself retards the growth.
`
` Q. I see.
`
` Have you worked -- in your professional
`
`background, have you worked on any formulations
`
`where you had to add a preservative package to a
`
`solution -- in other words, where the active
`
`ingredient itself was not self-preserving? Have
`
`you worked on any situations like that?
`
` MR. ZOLAN: Objection to form. Vague.
`
` THE WITNESS: So are you talking about
`
`ophthalmic formulations or any --
`
`BY MR. HOUSTON:
`
` Q. Yes, thank you for clarifying. Yes, I am
`
`talking about ophthalmic formulations.
`
` A. And solutions?
`
` Q. Yes.
`
` A. There are multiple, I mean, incidences
`
`where we are using preservatives. So whenever the
`
`components are not self-preserving, we would --
`
`and if it's going to be a multi-dose formulation.
`
`If it's a single-dose formulation, you don't need
`
`a preservative.
`
` If it's a multi-dose, I would be using
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000010
`
`

`

`Page 11
`
`conventional or some preservative. If you mean by
`
`preservative package -- are you saying -- could
`
`you clarify on that?
`
` Q. Yeah. I guess what I'm just thinking
`
`of -- the first example you described for me was a
`
`situation where the active ingredient itself was
`
`active against microbes. And so I think you were
`
`explaining that that was sort of the main -- it
`
`was self-preserved in that aspect because the
`
`active ingredient itself had that property.
`
` What I was trying to get at is, have you
`
`worked on any other formulations where the active
`
`ingredient does not have this self-preservation
`
`quality and you had to, therefore, formulate or
`
`add in components specifically to achieve
`
`preservative efficacy?
`
` Do you have experience in that situation?
`
` A. There have been -- and again, coming to
`
`ophthalmic formulations or in general in
`
`parenteral formulations that I worked on, there
`
`are numbers of -- a number of cases where we have
`
`to include preservatives to maintain
`
`the preservative efficacy standards -- the
`
`sterility of the formulations so that they pass
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000011
`
`

`

`Page 12
`
`the preservative efficacy standards.
`
` Q. And so do you have any experience in such
`
`cases where you were using non-traditional
`
`preservatives to achieve that as opposed to a
`
`conventional preservative agent?
`
` MR. ZOLAN: Objection to form. Vague.
`
` THE WITNESS: So in terms of ophthalmic
`
`formulations --
`
`BY MR. HOUSTON:
`
` Q. Yes.
`
` A. -- and solutions? Ophthalmic solutions?
`
` Q. Yes.
`
` A. I know I've used a lot of the
`
`conventional preservatives. But I don't remember
`
`if I've used any of the ones which are not
`
`conventional.
`
` Q. So, for example, you've never worked on
`
`an ophthalmic solution formulation that contains
`
`zinc as the preservative?
`
` A. Personally, I've not made any
`
`formulations with zinc as a preservative, as the
`
`primary preservative or mainly being used as a
`
`preservative in the composition.
`
` Q. What about a formulation that uses a
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000012
`
`

`

`Page 13
`
`borate-polyol complex as the preservative? Have
`
`you had any experience with those?
`
` A. By experience with those, in terms of
`
`actually making the formulations on my own?
`
` Q. Well, working on a project where such a
`
`product was being formulated. I -- I would
`
`anticipate perhaps as part of a team, typically,
`
`but you can tell me if that's incorrect.
`
` A. I know about the borate-polyol complexes,
`
`but I have not used it in -- as far as I know,
`
`remember, sitting here, I don't think I've used
`
`any of the borate-polyol complexes as the primary
`
`preservative agent.
`
` Q. The product that you mentioned earlier
`
`that you worked on developing right as Sandoz was
`
`merging into Ciba, if it's not confidential, can
`
`you tell me what that product was?
`
` A. That's what -- I don't really remember
`
`what, because there were multiple projects which
`
`could get assigned from Austria, and then we would
`
`start working with it and then they would change.
`
`So -- it's been some time, and I really don't
`
`remember which ones.
`
` Q. Okay.
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000013
`
`

`

`Page 14
`
` A. And it was -- again, we used to work as
`
`teams. So I was the team leader. And then there
`
`would be multiple products under my team members,
`
`and I would be leading them. So it's a little bit
`
`hazy right now.
`
` Q. Was that product ever commercialized?
`
` A. One of them was. It was -- actually, one
`
`or two of them were commercialized, but they
`
`were -- I don't think they were -- I don't know
`
`what was the preservative agent in the ones that
`
`actually went into the market.
`
` One was a lens cleaning tablet. And then
`
`another one was a SOLO-CARE solution for, again,
`
`cleaning lens. So I don't remember whether they
`
`were the ones with a self-care preserve system or
`
`they were just containing conventional
`
`preservatives.
`
` Q. Okay. So I'd like to ask you some
`
`questions about what a POSA would do when they're
`
`trying to work on developing a commercial
`
`ophthalmic solution that's self-preserved.
`
` Do you feel like you're qualified to
`
`testify about that topic?
`
` A. Oh, yes.
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000014
`
`

`

`Page 15
`
` Q. Okay. When a POSA in 2006 set out to
`
`develop an aqueous self-preserved ophthalmic
`
`pharmaceutical product, what would their goals
`
`have been? Can we start at a high level and then
`
`perhaps we can drill down into some more detail?
`
` A. So aqueous ophthalmic pharmaceutical for
`
`humans?
`
` Q. I want to cover the subject matter of the
`
`'299 patent here.
`
` A. Okay. So you are talking about the broad
`
`objective of POSA wanting to develop a
`
`self-preserved formulation or trying to develop a
`
`formulation with a particular active ingredient in
`
`mind?
`
` Q. I think we can call it a
`
`pharmaceutical -- I mean, the title of the '29
`
`[sic] patent says it's a pharmaceutical
`
`composition.
`
` A. Okay.
`
` Q. Does that signify that there's typically
`
`going to be an active ingredient there, to call it
`
`a pharmaceutical composition?
`
` A. I mean, as a POSA, I would need a
`
`clarification. Not just a pharmaceutical
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000015
`
`

`

`Page 16
`
`composition. I could go in all kinds of direction
`
`without really knowing where to land.
`
` Is it -- what is the active? What is the
`
`dose? What is the molecule -- the active that you
`
`want to incorporate into the pharmaceutical? Does
`
`it have toxic effects? What is the therapeutic
`
`index? What is its stability? Is it an ester?
`
`Is it a prodrug? Does it have permeability?
`
` There are all kinds of things that a POSA
`
`would like to know before he can start on a
`
`project.
`
` Q. Let's assume that it's travoprost. Are
`
`you familiar with that drug?
`
` A. Yes.
`
` Q. Okay.
`
` A. So develop a travoprost formulation with
`
`the self -- which is a self-preserved.
`
` Q. Right. So I would just like to know at a
`
`high level what are the high-level concerns or
`
`issues or goals that a POSA is going to have to
`
`start to think about?
`
` A. What's -- so he has -- coming back to
`
`this, so the POSA is aware that there is a
`
`Travatan formulation already in the market which
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000016
`
`

`

`Page 17
`
`is optimized?
`
` Q. Actually, thank you for asking. So
`
`that's why I had mentioned earlier, when we're
`
`talking about a POSA, I guess unless we
`
`specifically say otherwise, I want it to be just
`
`as of the priority date of the '299 patent, so
`
`meaning before the '299 patent is filed.
`
` So I think what you -- you said -- in
`
`your question, you mentioned Travatan. I don't
`
`know for sure if you meant Travatan or Travatan Z.
`
`But assuming you meant Travatan, I believe that
`
`was on the market as of 2006 and was known.
`
` MR. ZOLAN: Is that a question?
`
` MR. HOUSTON: I'm just trying to clarify
`
`the witness' question to me.
`
` THE WITNESS: Right. So it's a very -- I
`
`mean, the assignment to the POSA is not clear, so
`
`if -- in my mind. So the POSA would be looking at
`
`this formulation, which is already available in
`
`the market. And you are saying that, okay,
`
`make -- take the benzalkonium chloride out and
`
`replace it with some self-preserved system?
`
`BY MR. HOUSTON:
`
` Q. You know, I'm not necessarily trying to
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000017
`
`

`

`Page 18
`
`dictate that. I'm just trying to ask you what you
`
`think a POSA would do if they are asked to develop
`
`a self-preserved version of a travoprost
`
`ophthalmic solution. And I just -- you know,
`
`again, we can get into some details, but just at a
`
`high level what are the things they're concerned
`
`about?
`
` A. Well, at a very high level, the main
`
`factors that a POSA have to keep in mind is -- any
`
`formulation, or any ophthalmic formulation --
`
`safety, efficacy, stability.
`
` Q. Okay. For efficacy of a given
`
`formulation, was a POSA knowledgeable enough and
`
`capable enough to be able to test a given
`
`formulation for efficacy?
`
` A. A POSA is a hypothetical person who has
`
`multiple skills and is not one person. I mean, he
`
`has the skill himself --
`
` Q. Right.
`
` A. -- of all kind -- a full team.
`
` So he would be able to test. And in this
`
`case, since the assignment is for a formulation
`
`which is already known, for a pharmaceutical whose
`
`activity is already known and established,
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000018
`
`

`

`Page 19
`
`that's -- you just follow the formulation which
`
`has already -- and the dose which has already been
`
`established.
`
` Q. Is that enough, to just follow the
`
`formulation and dose to establish efficacy, or
`
`would efficacy tests for the new formulation
`
`that's being developed have to be conducted?
`
` A. So you have several layers of concepts in
`
`that question, which really we need to understand.
`
` You -- if a POSA is given the task of
`
`reformulating -- as you said, reformulating a
`
`currently available formulation -- to make sure
`
`that he or she doesn't fiddle or compromise the
`
`efficacy and safety and stability of the
`
`formulation, the POSA would make as little a
`
`change in the formulation as possible.
`
` Q. Okay. Let me try to circle back what I
`
`think my original question was and just -- which
`
`was just that, would a POSA have been able to
`
`conduct the tests to determine efficacy of their
`
`new solutions, whatever they're testing. Are they
`
`able to conduct efficacy tests?
`
` A. Those would be standard practice if
`
`needed. The pharmacologists would be there in
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000019
`
`

`

`their team and they would be able to guide it.
`
` Q. Another high-level goal you said a POSA
`
`would be concerned with was the safety of the
`
`Page 20
`
`product, right?
`
` A. Correct.
`
` Q. Okay. What things go into determining
`
`whether or not such a product would be safe?
`
` A. And again, ophthalmic formulations --
`
` Q. Yes. For this.
`
` A. -- and solutions put in the eyedrop --
`
`yeah, you do not want to cause -- there's always a
`
`tradeoff between risk and safety, so -- efficacy
`
`and safety, actually.
`
` So if it has a -- well, you should make
`
`sure that it does not contain any agents or it
`
`does not cause any reaction on the occular surface
`
`like -- which is not acceptable, it doesn't
`
`disrupt the corneal membrane or is not toxic to
`
`the corneal cells or the conjunctival cells.
`
` It doesn't -- basically it should not
`
`cause any harm to the biological tissues.
`
` Q. Would an aspect of product safety be
`
`avoiding particulates or precipitates in the
`
`solution or would that fall under some other
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000020
`
`

`

`Page 21
`
`category? Or would that not be a concern at all
`
`of a POSA?
`
` A. If it's a solution, it cannot have --
`
`there are USP guidelines as to what the number of
`
`particles can be. So you don't want particulates
`
`in a solution formulation. So there should not
`
`be -- if there is precipitation occurring, that
`
`means a formulation is unstable. So that's a
`
`stability -- it's a physical stability issue, not
`
`a safety issue.
`
` And of course, why there is a limit on
`
`the particle size and -- if it's in suspension is
`
`because those particles can cause problems on the
`
`occular tissues.
`
` But if you are talking about a solution
`
`and then there are precipitation issues, then that
`
`means that the formulation is physically unstable
`
`and, in the long run, you could have efficacy --
`
`loss of activity or decreased efficacy.
`
` Q. Okay. Would a POSA be concerned with
`
`making sure the product stays sterile? And if so,
`
`would that fall under the category of a safety
`
`issue or a stability issue? Or something else?
`
` A. Are you talking about a multi-dose
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000021
`
`

`

`Page 22
`
`formulation ophthalmic solution?
`
` Q. Yes.
`
` A. They -- both are involved, actually. It
`
`depends on which angle you're looking at it from.
`
`From a formulator's point of view, microbial
`
`stability or -- stability of the preservative is
`
`not being maintained.
`
` From an application point of view, if it
`
`has got contaminated, then there's a safety issue.
`
` So the whole purpose of maintaining
`
`sterility is to keep that formulation safe for
`
`use.
`
` Q. And a POSA would have been aware that the
`
`types and the amounts of preservative agents
`
`incorporated into the product would affect those
`
`preservation properties; is that right?
`
` A. A POSA would be aware how to preserve the
`
`ophthalmic solutions, if that is what you're
`
`meaning.
`
` Q. Well, I wanted to get a little more
`
`specific. They'd be aware of how to preserve
`
`it -- at least one way they would be aware of that
`
`is in adjusting the types and amounts of
`
`preservative agents in the formula; is that fair?
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000022
`
`

`

`Page 23
`
` A. Yes. The preservatives which were known
`
`at that point of time, the POSA would be able to
`
`read the literature and know how to use them and
`
`test for preservative efficacy.
`
` Q. In the context of the ophthalmic product
`
`we've just been discussing, what would a POSA have
`
`understood the term "antimicrobial" to mean?
`
` A. Antimicrobial encompasses microorganisms.
`
`So antimicrobial means from a preservative which
`
`can act against bacteria or fungi microbes.
`
` Q. And I think you said a POSA would know
`
`how to carry out the tests needed to -- the
`
`experiments needed to test for preservation
`
`ability or preservation efficacy; is that right?
`
` A. Yes.
`
` Q. So let's say a POSA is working on a given
`
`formulation and they test for preservative
`
`efficacy and that formulation does not pass the
`
`test. Okay?
`
` Are you with me so far?
`
` A. Which formulation? Any -- self-preserved
`
`or regular conventional preservative?
`
` Q. Yeah. My line of questioning right now
`
`-- I want to focus on what we've been talking
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000023
`
`

`

`about, so trying to develop a self-preserved --
`
` A. Okay.
`
` Q. -- ophthalmic solution formulation that
`
`Page 24
`
`contains travoprost.
`
` A. Okay.
`
` Q. Okay? And let's say they've conducted a
`
`test on a given formulation that doesn't pass the
`
`preservative efficacy test. Okay?
`
` A. Uh-huh.
`
` Q. One of the things a POSA would think to
`
`do in that situation would be to alter the
`
`concentration of whatever their preservative agent
`
`is, right?
`
` A. I need to understand where the POSA --
`
`what information the POSA is basing his first test
`
`on.
`
` Q. Okay. Can you help me understand -- I'm
`
`not sure I understand what you mean.
`
` A. Yeah. A person of ordinary skill is
`
`looking at the literature which is available to
`
`him, and he's trying to use the information to
`
`develop a self-preserved formulation. We are not
`
`talking about invention, correct? So he is trying
`
`to find out what the literature -- how the
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000024
`
`

`

`Page 25
`
`literature guides him towards a self-preserved
`
`formulation.
`
` So now, depending on what path he has
`
`chosen -- like, there could be multiple guidance
`
`out there in the literature at that point of time.
`
`So depending on what he has used as his base to
`
`start on the first experiment, only -- if I know
`
`that, I can answer that. Otherwise, there would
`
`be -- he would have based his first experiment on
`
`some data. So it's too -- that information is
`
`missing.
`
` So unless I have that information, then
`
`it's difficult to say why it's failing and, based
`
`on that, you would analyze that situation.
`
` Q. So let's say that the formulation that
`
`the POSA is experimenting with to begin with,
`
`they're trying to use zinc as their preservative
`
`agent. Okay?
`
` A. Okay.
`
` Q. And they conduct -- are the preservative
`
`efficacy tests standardized? Are there standard
`
`preservative efficacy tests that exist for this
`
`type of issue? For example, the USP27 I think
`
`I've seen reference to.
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000025
`
`

`

`Page 26
`
` A. There are several compendial tests that
`
`are there.
`
` Q. So let's say a POSA makes up a
`
`formulation, puts zinc in it to try to act as the
`
`preservative, and it fails.
`
` Would one of the things a POSA would
`
`consider doing is changing the zinc concentration?
`
` A. And again, to bring it back to the
`
`example, so you have this -- you have this
`
`standard formulation. You have taken out
`
`benzalkonium chloride. And zinc -- I'm presuming
`
`in this case you have already got a reference,
`
`like Xia, which teaches you how to use zinc in the
`
`formulations. And you have examples which the
`
`POSA would look at the various options available
`
`and choose a formulation which best fits his
`
`situation and he would use that concentration of
`
`zinc.
`
` And based on that, even after doing that,
`
`there would be a -- I mean, the expectation would
`
`be that if -- like, in this case, if you match the
`
`formulation which -- I think formulation 8 was the
`
`closest to this travoprost formulation, Travatan
`
`formulation -- there is high expectation, and it
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000026
`
`

`

`Page 27
`
`is that it is going to pass.
`
` If, counter-expectation, the formulation
`
`does not meet the preservative efficacy standards,
`
`there could be several approaches that he can
`
`take. And this is all under the hypothesis that
`
`for some reason the POSA has decided to go for
`
`zinc. Because there were other options that he
`
`could have looked at.
`
` Q. Okay. So let me back up because,
`
`actually, I don't want to get you hung up on the
`
`idea of it being zinc. And I know that's
`
`obviously a very hot topic in this particular
`
`proceeding.
`
` So we can even just talk more generally
`
`about the set of tests.
`
` What I'm trying to get at is, for a given
`
`formulation that a POSA is attempting to get to be
`
`self-preserved, if it -- if an initial formulation
`
`doesn't pass preservative efficacy, is at least
`
`one of the options a POSA is going to think about
`
`changing the concentration of the preservative
`
`that's being used?
`
` A. Actually, backing up even further and
`
`making it more general, the POSA's goal, like you
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000027
`
`

`

`Page 28
`
`put it initially, would be to develop a
`
`self-preserved formulation, not bother about what
`
`is the active. You are trying to develop a
`
`self-preserving formulation.
`
` So he would look at various options which
`
`are out there. And then -- one of the ways is
`
`like what Dr. Xia did, build that system. And you
`
`try various concentrations of that new system and
`
`see which one works. And --
`
` Q. So -- yeah, so I think that's what I'm
`
`getting at. Why would a POSA try various
`
`concentrations? Is it because preservatives are
`
`known to have a concentration-dependent
`
`antimicrobial behavior?
`
` A. It depends, again, what is the molecule
`
`that you are looking at. Now, one thing is the
`
`POSA is looking at literature, which is all
`
`available. There is a distinction between
`
`inventing versus looking at the literature.
`
` Now, why I said there's a distinction is
`
`because there are some chemicals which will just
`
`act like boring holes into the microbes as a
`
`surfactant system and they kill it. So the
`
`microbes do not have any use for them, they do not
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`www.veritext.com
`
`888-391-3376
`
`Veritext Legal Solutions
`
`000028
`
`

`

`Page 29
`
`know how to deal with them. They just -- either
`
`the concentration is sufficient enough to not
`
`kill, and it's not at enough concentration to meet
`
`the preservative efficacy, And then, as you go on
`
`increasing the concentration, it will meet the
`
`preservative efficacy, and then if you go at too
`
`high a concentration, then it becomes toxic to the
`
`mammalian cells.
`
` But there are some -- you have to be
`
`cautious about some situations where -- like for
`
`zinc, which can actually be u

This document is available on Docket Alarm but you must sign up to view it.


Or .

Accessing this document will incur an additional charge of $.

After purchase, you can access this document again without charge.

Accept $ Charge
throbber

Still Working On It

This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.

Give it another minute or two to complete, and then try the refresh button.

throbber

A few More Minutes ... Still Working

It can take up to 5 minutes for us to download a document if the court servers are running slowly.

Thank you for your continued patience.

This document could not be displayed.

We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.

Your account does not support viewing this document.

You need a Paid Account to view this document. Click here to change your account type.

Your account does not support viewing this document.

Set your membership status to view this document.

With a Docket Alarm membership, you'll get a whole lot more, including:

  • Up-to-date information for this case.
  • Email alerts whenever there is an update.
  • Full text search for other cases.
  • Get email alerts whenever a new case matches your search.

Become a Member

One Moment Please

The filing “” is large (MB) and is being downloaded.

Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.

Your document is on its way!

If you do not receive the document in five minutes, contact support at support@docketalarm.com.

Sealed Document

We are unable to display this document, it may be under a court ordered seal.

If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.


Access Government Site

We are redirecting you
to a mobile optimized page.





Document Unreadable or Corrupt

Refresh this Document
Go to the Docket

We are unable to display this document.

Refresh this Document
Go to the Docket