`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`-------------------------------x
`WEST-WARD PHARMACEUTICALS
`INTERNATIONAL LIMITED,
`
` Case No.
` Petitioner, IPR2017-01592
` IPR2018-00507
`
` Patent No.
` 8,410,131
`V.
`
`NOVARTIS PHARMACEUTICALS
`CORPORATION,
`
` Patent Owner.
`-------------------------------x
`
` TELEPHONIC HEARING
` September 12, 2018
`
`Reported by:
`Tiffany Valentine
`Job No. 147868
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`NOVARTIS EXHIBIT 2115
`West-Ward v. Novartis, IPR 2017-01592
`Page 1 of 46
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` Wednesday, September 12, 2018
` 3:01 p.m.
`
` PTAB Telephonic Hearing, held Before
`Administrative Patent Judges Robert A. Pollock,
`Sheridan K. Snedden and Jacqueline T. Harlow,
`held before Tiffany Valentine, a Court Reporter
`and Notary Public within and for the State of
`New York.
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`A P P E A R A N C E S
`GOODWIN PROCTER
`Attorneys for Petitioner
` 620 Eighth Avenue
` New York, New York 10018
`BY: MICHAEL COTTLER, ESQ.
` KEITH ZULLOW, ESQ.
`
`FITZPATRICK, CELLA, HARPER & SCINTO
`Attorneys for Patent Owner
` 1290 Avenue of the Americas
` New York, New York 10104-3800
`BY: CHRISTINA SCHWARZ, ESQ.
` NICHOLAS KALLAS, ESQ.
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` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Good afternoon. This is the prehearing
`conference for IPR2017-01529, which is
`joined with IPR2018-00507.
` I am Judge Pollock. On the line
`with me are Judges Snedden and Harlow.
` Who is on the line for Petitioner
`Breckenridge?
` MR. COTTLER: Good afternoon, your
`Honor. This is Michael Cottler from
`Goodwin Procter on behalf of the Petitioner
`West-Ward.
` Petitioner Breckenridge has settled
`out of the IPR proceeding. They were lead
`Petitioner. With Breckenridge leaving,
`West-Ward stepped into their shoes.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Thank you, Mr. Cottler.
` MR. COTTLER: You're welcome. With
`me also is Keith Zullow, who is lead
`counsel for West-Ward.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Who is on the line for Patent Owner?
` MS. SCHWARZ: Good afternoon. This
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`is Christina Schwarz and Nicholas Kallas
`for Novartis.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Good afternoon. Is there a court reporter
`on the line?
` (Court Reporter responds to the
`Judge.)
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Who retained the court reporter?
` MS. SCHWARZ: Patent Owner, your
`Honor.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Please submit the transcript as an exhibit
`as soon as it is ready. It will serve as a
`record of this conference.
` MS. SCHWARZ: Sure. We will do
`that.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`We will several issues today.
` Petitioner seeks to address whether
`'131 patent can claim priority to February
`19, 2001 or February 18, 2002. And Patent
`Owner seeks to address the antedation of
`Luan, Exhibit 1005. And Petitioner has
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`requested excluding the declaration of
`Dr. Komanduri, exhibit 2080.
` Each party has 15 minutes to present
`its case and may reserve five minutes at
`that time for rebuttal. Opposing party
`also has 15 minutes argument time but may
`not reserve time.
` Oral argument in this case is
`scheduled for September 19. Parties are
`free to revisit today's topics at that
`time.
` Let's start with Petitioner.
`Counsel, you have 15 minutes to present
`your case with respect to the priority
`claims of the '131 patent.
` Would you like to reserve five
`minutes of that time for rebuttal?
` MR. COTTLER: Yes, your Honor. And
`hopefully this won't take ten minutes
`either. I think it will be pretty brief.
`Feel free to stop me at any time to ask any
`questions.
` Just so it's clear, all of our
`arguments are on the papers, but I will try
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`to give a brief summary of opposition as to
`why the challenged claims of the '131
`patent are not entitled priority to the
`British, the two British applications, the
`first of which was filed and published
`2001.
` The claim one of the '131 patent is
`directed to the inhibition of tumors of the
`solid excretory system. The information in
`the specification of these priority
`applications does not reasonably convey to
`a person skilled in the art that the
`patentee was in possession of a method of
`inhibiting the full scope of that genus of
`tumor.
` Novartis heavily relies on the two
`excerpts of the British application to
`support its position regarding priority.
` The first exhibit is 1012, that is
`the February, 2001, application. And the
`paragraph that I am referring to is at the
`bottom of page 005. And that's where the
`specification provides information
`regarding solid tumors. And the relevant
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`language is first found three lines down,
`the phrase renal cell carcinomas.
` And then there is a second phrase
`that is relied upon by Novartis starting
`with genitourinary cancer, e.g., cervical,
`uterine, ovarian, prostate or bladder
`cancer.
` Neither one of those excerpts
`provides written support for the full scope
`of claim one. As of the relevant date,
`excretory system tumors were understood to
`refer to tumors in the urinary tract, which
`include kidneys, ureter, bladder and
`urethra.
` As of that same timeframe,
`ordinarily just urinary cancer is
`understood as covered by excretory system
`tumors. But the question here is whether
`the phrase genitourinary cancer gives
`Novartis priority as to the genus of solid
`excretory system tumors. The answer is, it
`does not.
` While the application does refer to
`genitourinary cancer, including the
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`bladder, that would not include benign
`tumors, which are not cancerous.
` What's more important is that the
`listing of genitourinary cancers does not
`include -- it's listed separately from RCC,
`which is a type of kidney cancer. And to a
`person skilled in the art -- and to a
`person skilled in the art, RCC would
`ordinarily be included within the scope of
`genitourinary cancers.
` So the fact that the applicant here
`has categorized RCC separately from this
`scope of genitourinary cancers suggests the
`patentee here has used different naming
`conventions such that genitourinary cancer
`does not include the genus of excretory
`system tumors.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Mr. Cottler, this argument about priorities
`is only relevant to Luan as prior art in
`this case, correct?
` MR. COTTLER: With respect to the
`references being relied upon forming a
`bases for the grounds, that is correct,
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`your Honor.
` There are some additional references
`that the Petitioner or there were some --
`there were additional references that
`Petitioner relied upon in the petition with
`respect to the state of the art, that are
`102(a) art.
` And those references would not be
`prior art if Novartis could claim priority
`to the earlier application.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`All right. And now if we were to find, as
`you suggest, that Novartis is not entitled
`to the earlier priority date, could we
`nevertheless find the Patent Owner still
`antedates Luan?
` MR. COTTLER: It is our position,
`your Honor, that Novartis cannot antedate
`Luan. Even assuming that Novartis cannot
`claim priority to the earlier application,
`it's Petitioner's position that the law
`that Patent Owner cites in its response,
`does not support its position that the
`information in the priority application
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`antedates the disclosures of Luan.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Okay. I hope Patent Owner can shed some
`more light on this position too.
` Please continue, Mr. Cottler.
` MR. COTTLER: Okay. And we were
`talking about priority and moved on to
`antedation, I can provide more of
`explanation as to the this side of the law
`in Patent Owner's response does not support
`that antedation argument or I can wait
`until Patent Owner addresses it.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`You're welcome to use your time as you see
`fit.
` MR. COTTLER: Okay. So I will go to
`back to priority then and we will wait to
`see what Patent Owner argument is.
` So getting back to the distinction
`between genitourinary cancer and RCC, as I
`said before, a person of skill in the art
`would understand that because RCC is
`separated from genitourinary cancer,
`genitourinary cancer would not include the
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`full scope of the genus of excretory system
`tumors.
` Additionally, there is no data in
`the specification to support the idea that
`the only two examples of excretory system
`tumors here in the specification, which are
`the bladder and RCC, whether those two
`examples would be representative of the
`full scope of the genus of excretory system
`tumors.
` In fact, Patent Owner argues in this
`proceeding that the science surrounding
`these drugs and tumors was quite complex.
`And so the absence of any data in this
`priority application, bolsters the argument
`that simply providing the two examples of
`excretory system tumors would not provide
`support that's representative as a full
`scope of solid excretory system tumors in
`claim one.
` As for claim two, claim two simply
`limits the tumor of claim one to one that
`is advanced. The narrowing of claim two
`does not fix the written description
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`problem I just described for claim one,
`because the scope of the types of solid
`excretory system tumors has not changed.
` On claim three, that does limit the
`scope of tumors of claim one to a kidney
`tumor. So while that claim is narrower
`than claim one with respect to the scope of
`the types of excretory tumors, there's
`still no priority with respect to that
`claim as well.
` There is no dispute that a kidney
`tumor is also a genus of tumors. One
`species of that genus is RCC. A kidney
`tumor can be benign or non-cancerous --
`sorry, benign or cancerous. And RCC is of
`the cancerous type.
` RCC is the only example in the
`specification of the priority application.
`And there are no examples of any other
`types of cancerous tumors and no examples
`of any benign kidney tumors.
` While it is true that RCC is the
`most prevalent, or was understood to be the
`most prevalent type of kidney tumor at that
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`relevant timeframe, the RCC is not
`representative of the other types of tumors
`that fall in the scope of kidney tumors.
` As I said before, Novartis argues
`that the science here is too complex and
`there is no data in this specification to
`suggest that inhibiting the growth -- that
`whether a drug can inhibit the growth of
`RCC is representative as to whether the
`same drug could inhibit the growth of any
`other kind of kidney tumor.
` Second, the reference to
`genitourinary cancers in the specification
`in the priority application does not
`support the idea that patentee was in
`possession the full scope of kidney tumors.
` As I said before, genitourinary
`cancer at the relevant timeframe was
`ordinarily understood to include kidney
`tumors. But the way that the patentee
`drafted the specifications suggests that
`the genitourinary cancers did not include
`all excretory system tumors, of which is
`one type --
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` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`I think ten minutes is up.
` MR. COTTLER: Okay. Thank you.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Who is speaking for Patent Owner, Novartis?
` MS. SCHWARZ: Christina Schwarz,
`your Honor.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Ms. Schwarz, you have 15 minutes.
` MS. SCHWARZ: Thank you, your Honor.
`So before getting into the substance, I
`just want to clarify one issue: In the
`e-mail to the Board about the conference as
`well as at the beginning of the conference,
`I think the Board identified the priority
`issue as whether the '131 patent is
`entitled to claim priority to February 19,
`2001 or February 18, 2002. But that second
`date is not correct. It actually should be
`October 17, 2001.
` That's because February 18, 2002 is
`the PCT filing date of the application that
`led to the '131 patent, not the priority
`date. And the Petitioner here has never
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`challenged the February 18, 2002 nor could
`they because that would be a 112 argument.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Okay. So October 17, 2001 is the target
`date we're looking at?
` MR. COTTLER: No, I am sorry. That
`is not correct.
` The question in this case is what
`the relevant date for determining what is
`prior art. And the dispute is whether it's
`February, 2001, if Novartis can claim
`priority to the earlier application or
`whether it was February, 2002, if it can
`not claim priority to the earlier
`application.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`You can bring that up in your rebuttal
`time.
` MR. COTTLER: Okay, thank you.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
` MS. SCHWARZ: I think we are all on
`the same page here, might just be semantic
`issue. The two priority dates are February
`19, 2001 or October 17, 2001.
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` If patent owner is not entitled to
`claim priority to either of those dates,
`then the appropriate date is February 18,
`2002.
` Now Patent Owner relied on the same
`disclosures in the February, 2001, and
`October, 2001, priority application, so the
`Board doesn't need to separately consider
`those two dates.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Okay.
` MS. SCHWARZ: So with respect to
`priority, there's really only one disputed
`issue, and that's whether the GB '072
`priority application discloses the claimed
`tumor types; solid excretory system tumors
`and solid kidney tumors. And the answer to
`that question is yes, because GB '072
`expressly discloses genitourinary tumors.
` That is a category that has two
`subgenera, one of which is urinary
`excretory system tumors, which are the
`claimed solid excretory system tumors.
` Also GB '072 expressly discloses
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`renal cell carcinoma, prostate and bladder
`tumors, each of which is an example of
`solid excretory system tumor.
` So as Mr. Cottler indicated GB '072,
`on page two, discloses everolimus inhibits
`the growth of solid tumors including the
`genitourinary tumors. And the Petitioner's
`expert, Dr. Pantuck, agreed at deposition
`that in 2001, the genitourinary organs were
`understood to include just two categories
`of organs; the reproductive system organs
`and the urinary excretory system organs.
` That is in exhibit 2027, page 65,
`lines two to eight. I will --
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`What was the citation again?
` MS. SCHWARZ: 2027 at page 65, lines
`two to eight.
` I will focus on the urinary
`excretory system organs here.
` Dr. Pantuck agreed at deposition,
`and counsel for Petitioner just agreed as
`well, that the organs of the urinary
`excretory system were known. So there is a
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`bladder, kidney, renal pelvis, ureter,
`urethra and prostate. That is in the
`record in the exhibit 2027 at page 65,
`lines eight to 18 and exhibit 2092 at
`paragraph 106.
` Dr. Pantuck also agreed at
`deposition that tumors arising from the
`urinary excretory system were known. And
`that is in exhibit 2027 at page 234, lines
`five to 21.
` So Dr. Pantuck has admitted that the
`term genitourinary would have been
`understood to disclose two categories of
`organs; one of which is the urinary
`excretory system organs.
` He also admitted that the urinary
`excretory system organs were known and that
`tumors arising from those organs were
`known.
` There is no dispute here that solid
`excretory system tumors as claimed in the
`'131 patent refer to tumors that arise from
`cells of the urinary excretory system.
`That was set forth in the Institution
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`Decision at page ten, and the Petitioner
`agreed at page six of the reply, Paper 39.
` So for these reasons, the reference
`to genitourinary tumors GB '072 on its own,
`clearly constitutes an adequate written
`description of solid excretory system
`tumors.
` But in addition to disclosing
`genitourinary, GB '072 also specifically
`discloses the three most common types of
`solid excretory system tumors; RCC, or
`renal cell carcinoma, prostate tumors and
`bladder tumors. The combination of these
`disclosures meets the written description
`requirement for solid excretory system
`tumors.
` I will turn now to the solid kidney
`tumor claim. In GB '072 also provides
`adequate written description support for
`those claimed tumors. One of ordinary
`skill understands that GB '072's express
`disclosure of genitourinary tumors in
`combination with its express exemplary
`disclosure of its most common type of
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`kidney tumor, describes the claim solid
`kidney tumors.
` To be clear, the Patent Owner is not
`relying on the disclosure of RCC alone for
`written description support of solid kidney
`tumors, but rather on the combination of
`disclosure of genitourinary and the
`specific example RCC.
` As I explained earlier, the term
`genitourinary would be understood to
`include two subgenera; one of which is
`solid excretory system tumors. Solid
`excretory tumors are a small class of
`tumors and there is no dispute that kidney
`tumors fall within that small class.
` The case law supports the disclosure
`of a small genus is disclosure of the
`species within that genus and that's what
`we have here.
` Now the Institution Decision did not
`specifically address whether GB '072's
`disclosure of genitourinary tumors provided
`adequate written description support for
`the '131 claim. The Petitioner's only
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`reply to that disclosure is that GB '072
`specifically defined genitourinary to
`exclude renal cell carcinoma.
` But that argument, which we heard
`for Petitioner today, is unsupported
`attorney argument raised for the first time
`in the reply, which failed to establish
`what GB '072 reasonably conveys to one of
`ordinary skill in the art. It also failed
`to allow the Petitioner to bear its burden
`of persuasion on priority.
` The Petitioner does not point at any
`part of the GB '072 that excludes RCC from
`genitourinary tumors. Rather, one of
`ordinary skill would expect that
`genitourinary was being used in its
`ordinary sense. And the Petitioner's
`expert admitted at deposition that one of
`skill would know that kidney tumors, which
`include RCC, are genitourinary tumors.
` The Federal Circuit has made clear
`that inventors are not required to list
`every detail of their invention in the
`specification because one of ordinary skill
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`comes to the patent with knowledge of what
`has come before. Here because the
`Petitioners admit one of ordinary skill
`would understand the term genitourinary
`tumors to include the claim solid excretory
`tumors and solid kidney tumors, there could
`be no dispute that GB '072 satisfies the
`written description requirement and the
`'131 patent is entitled to claim priority
`to the February, 2001, date of GB '072.
` Now the Petitioner also suggested
`that preclinical and clinical data was
`required to meet the written description
`requirement. But this argument, raised for
`the first time in reply, is pure attorney
`argument and it's not supported by any
`expert testimony.
` It also misses the point. The issue
`for written description is whether one of
`ordinary skill would have understood that
`the inventors were in possession of the
`invention. Here based on the disclosure of
`genitourinary cancer and the three specific
`examples of solid urinary excretory system
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`tumors, the written description requirement
`was clearly satisfied.
` The Petitioner also argued that RCC
`was not representative of all kidney
`tumors. Again, that is a new argument in
`reply that's totally unsupported in the
`reply by any expert testimony. And the
`Patent Owner here is not relying on RCC
`alone as support for the kidney tumor
`claim.
` Petitioner also mentioned that
`genitourinary does not include or does not
`cover benign tumors. Again, that is a new
`argument that's never been raised in the
`petition or the reply.
` And as Dr. Pantuck admitted, for
`each type of tumor disclosed in GB '072,
`both malignant and benign tumors were
`envisaged. And that is exhibit 2027 at
`Page 273, line 20, to Page 274, line two.
` Then one final point on the
`antedating and priority issues -- we will
`discuss antedating later on in this call,
`but those are two separate issues. And
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`even if Patent Owner were not to prevail on
`priority, Patent Owner could still antedate
`Luan. As we will explain, Petitioner never
`addressed antedating issues including the
`cases that Patent Owner relied on for
`antedating in its reply. So to bring them
`up here and distinguish them here would be
`improper.
` If there are no questions from the
`Board, that's it for Patent Owner.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Thank you very much, Ms. Schwarz.
` Mr. Cottler, you have five minutes.
` MR. COTTLER: Yes, thank you.
` I would point the Board to page 13
`of the petition which does lay out some
`other diagrams dissecting the various types
`of tumors and genuses and species that we
`have been talking about. And I believe
`Patent Owner says that Petitioner never
`argued that the examples disclosed in the
`specification of the priority application
`are not representative of the generic
`claims and the '131 patent. I believe
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`pages 13 and 14 make that very argument.
` I think a moment ago Ms. Schwarz
`said a lot of things that are not in
`dispute. What was -- what types of tumors
`were understood to be genitourinary tumors
`to a person skilled in the art was not
`disputed. It would have included excretory
`tumors, such as the kidney and bladder.
` But in the specification of the
`priority application, the patentee did
`redefine what is understood -- they
`redefined what genitourinary means by
`separating out RCC from the scope of
`genitourinary cancers.
` In other words, genitourinary
`cancers doesn't include kidney tumors. And
`given the omission of kidney tumors from
`the list of genitourinary cancers a POSA
`would be to believe that the patentee
`wasn't looking to tell the world that it
`was trying to disclose the use of
`everolimus for inhibiting the growth of all
`excretory system tumors.
` Again, getting back to this issue
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`about whether the examples disclosed in the
`specification are representative of the
`full scope of the challenged claims, I
`didn't hear Patent Owner make any argument
`as to why the tumors disclosed are in fact
`representative of the full scope of the
`challenged claim.
` Again, Patent Owner is arguing that
`these were complex times, in that bolsters
`that idea that the examples disclosed in
`the specification are not representative of
`the full scope of tumors that Patentee now
`attempts to claim.
` Unless the Board has any questions,
`I think that's it for me.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`Thank you, Mr. Cottler. I don't think we
`have any questions right now.
` We can move on to Patent Owner's
`time. Counsel, you have 15 minutes to
`present your case with respect to
`antedating Luan and the exclusion of
`Dr. Komanduri's declaration.
` Would you like to reserve time for
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`rebuttal?
` MS. SCHWARZ: Yes, your Honor. I
`would like to reserve five minutes please.
` ADMINISTRATIVE PATENT JUDGE POLLOCK:
`You are on the clock for ten.
` MS. SCHWARZ: I will start with the
`issue of Petitioner's motion to exclude
`Dr. Komanduri's declaration.
` There are two main reasons to deny
`that motion: There is no dispute that
`Dr. Komanduri is an expert in the treatment
`of patients with lymphoproliferative
`disorders, including lymphomas or liquid
`tumors, which is the subject of Wasik,
`Exhibit 1002.
` The first reason to deny
`Petitioner's motion is that the Petitioner
`argues the Dr. Komanduri declaration is
`inadmissible because he lacks the several
`years of specialized expertise that a
`person of ordinary skill would have. But
`as a factual matter, the Petitioner's
`argument is contradicted by its own expert.
` Dr. Pantuck admitted at deposition,
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`a person of ordinary skill would have some
`education, training and experience with
`liquid tumors. That is in Exhibit 2113 at
`Page 19, lines four to eleven.
` The Petitioner admits Dr. Komanduri
`had those qualifications. That is on Paper
`55 at pages two to three.
` Also at deposition, Dr. Pantuck
`admitted a person of ordinary skill could
`consult with someone having experience
`treating liquid tumors. That is in Exhibit
`2113 at Page 20, line 13 to 19.
` So there is no dispute that a person
`of ordinary skill here could consult with
`someone with Dr. Komanduri's expertise.
` For these reasons, Dr. Komanduri is
`qualified to offer expert testimony on the
`treatment of liquid tumors, which is the
`subject of the Wasik reference in grounds
`one, two and three.
` The second reason to deny
`Petitioner's motion is that even if
`Dr. Komanduri does not meet every aspect of
`the definition of person of ordinary skill,
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`his declaration is helpful to understanding
`the Wasik reference and is therefore
`admissible.
` The Patent Owner has offered
`Dr. Komanduri's declaration on the subject
`of Wasik. There is no dispute that Wasik
`generally relates to lymphoproliferative
`disorders, including liquid tumors.
`Petitioner admits this in Paper 39 at page
`18.
` There is no dispute that
`Dr. Komanduri is an expert on that very
`subject. Because of his expertise of the
`very subject of Wasik, Dr. Komanduri's
`declaration will help the Board understand
`the reference and the Petitioner has never
`suggested otherwise. Instead, the
`Petitioner says that Dr. Komanduri's
`experience has to perfectly match its new
`and revised definition of a person of
`ordinary skill that was set forth in the
`reply.
` I just note that the Petitioner
`revised its definition in the reply fully
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`in an attempt to exclude Dr. Komanduri.
`Even if the new, revised definition of
`person of ordinary skill were to apply, the
`Board's Revised Trial Practice Guide at
`Page 3, clearly states there is no
`requirement for a perfec