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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`_______________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`_______________________
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`RIMFROST AS
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`Petitioner
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`v.
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`AKER BIOMARINE ANTARCTIC AS
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`Patent Owner
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`_______________________
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`Case: IPR2020-01533
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`U.S. Patent No. 9,816,046 B2
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`_______________________
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`DECLARATION OF DR STEPHEN J. TALLON
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`RIMFROST EXHIBIT 1006 Page 0001
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`U.S. Patent No. 9,816,046 B2
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`TABLE OF CONTENTS
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`AGREEMENT TO PROVIDE EXPERT TESTIMONY …………………… 10
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`BASES FOR OPINIONS GIVEN ...........................................................................12
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`NO FINANCIAL INTEREST IN PROCEEDING ..................................................12
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`QUALIFICATIONS AND RELEVANT EXPERIENCE .......................................12
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`RELEVANT CONSIDERATIONS .........................................................................19
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`PRIORITY CLAIMS ...............................................................................................22
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`CHART I - FAMILY CHART ............................................................................24
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`Earlier PTAB Decisions Expressly Addressed Many Claim Limitations. ..........25
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`LEVEL OF ORDINARY SKILL IN THE ART & THE POSITA .........................26
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`THE ‘046 PATENT (EX1001) ................................................................................27
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`Krill Processing and Denaturation .......................................................................27
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`Extraction of Krill Components and Combining Krill Extracts ..........................29
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`Ether Phospholipids – Prior Art Krill Bill NKO Ether PL Content Greater than
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`3% ........................................................................................................................30
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`Examples 7 and 8 do not rely on the source or processing of the krill in the
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`extraction of krill oil. ...........................................................................................32
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`The ‘046 Patent Claims Summary. ......................................................................33
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`MOTIVATION TO COMBINE - OVERVIEW .....................................................36
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`CHART II - SEVERAL KRILL COMPONENTS KNOWN TO A POSITA ....48
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`COMPARED WITH ‘046 PATENT EXAMPLE 7* ..........................................48
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`CLAIM TERMS ......................................................................................................53
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`ITC Claim Construction. ......................................................................................53
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`“krill oil” means “lipids extracted from krill” .....................................................56
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`“astaxanthin” means “the astaxanthin molecule having the structure shown
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`below and includes both cis- and trans forms of the molecule: ...........................62
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`“astaxanthin esters” means “astaxanthin molecules in which one or both of the
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`hydroxyl groups are replaced by a fatty acid tail connected to the astaxanthin
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`molecule through an ester bond.” ........................................................................68
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`“about” extends the number it modifies to include the range provided by
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`rounding, and means “a range about the number it modifies which when rounded
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`provides the number it modifies” .........................................................................69
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`“destroy the activity of lipases and phospholipases” means “denature lipases and
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`phospholipases” ...................................................................................................71
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`“polar solvent” means “solvent or mixtures of solvents capable of extracting
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`polar lipids comprising phospholipids” ...............................................................79
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`“krill meal” means “processed krill, with reduced water content, from which
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`krill oil can be extracted.” ....................................................................................82
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`PRIOR ART .............................................................................................................93
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`Budziński (EX1008) ............................................................................................93
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`Randolph (EX1011) ...........................................................................................102
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`Sampalis I (EX1012) ..........................................................................................109
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`Sampalis II (EX1013) ........................................................................................112
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`Breivik II (EX1037), Breivik Provisional (EX1036) and Breivik I (EX1035) .123
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`Breivik II’s Effective Filing Date is November 16, 2006. ............................124
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`Breivik II and the Breivik Provisional both describe the same processes. ....124
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`The Breivik Provisional Supports Breivik II’s Claimed Extraction Processes.
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` ........................................................................................................................125
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`“isolating the lipid fraction” means “separating, including by extracting, the
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`lipid fraction”. ................................................................................................126
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`The Claims. ....................................................................................................128
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`Breivik II’s Further Disclosures. ...................................................................129
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`Bunea (EX1020) ................................................................................................144
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`Bottino I (EX1007) ............................................................................................147
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`Bottino II (EX1038) ...........................................................................................151
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`Yoshitomi (EX1033) ..........................................................................................155
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`Fricke (EX1010) ................................................................................................169
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`Fricke discloses cooking of fresh krill to denature enzymes. ........................170
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`Fricke discloses storage of krill, including freshly cooked krill, followed by
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`extraction of krill oil. .....................................................................................172
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`Fricke discloses sterol, including cholesterol, content in krill oil. ................174
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`Fricke 1984 analysis of omega-3 fatty acids .................................................178
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`Tanaka (EX1015) ...............................................................................................183
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`Grantham (EX1032) ...........................................................................................187
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`Grynbaum (EX1039) .........................................................................................199
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`Mayzaud (EX1084) ............................................................................................207
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`Neptune Krill Oil (NKO) and Krill Bill NKO (EX1070, et. al) ........................209
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`Britton (EX1097) – trans (all-E) form of astaxanthin predominates in nature .214
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`Yuan (EX1098) ..................................................................................................217
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`Foss (EX1102) ...................................................................................................219
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`Higuera-Ciapara (EX1100) ................................................................................221
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`Lambertsen (EX1101) ........................................................................................225
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`Tehoharides (EX1030) .......................................................................................226
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`Hoem Presentation (EX1080) ............................................................................227
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`THE ‘046 PATENT CLAIM CHART ...................................................................231
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`‘046 PETITION GROUNDS ...............................................................................232
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`GROUND 1 ............................................................................................................233
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`BREIVIK II, YOSHITOMI, BUDZIŃSKI, ...........................................................233
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`FRICKE, BOTTINO II, SAMPALIS I ..................................................................233
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`CLAIMS 1-10 ........................................................................................................233
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`Claim 1. ..............................................................................................................233
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`Obtaining a Krill Meal by treating krill to .....................................................234
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`destroy the activity of lipases and phospholipases. .......................................234
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`Storing the Denatured Krill Product Before Extracting Krill Oil ..................236
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`Extracting Krill Oil from Stored Denatured Krill Meal with a Polar Solvent
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` ........................................................................................................................237
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`Krill oil with greater than 30% phosphatidylcholine w/w of said krill oil. ...239
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`Krill oil with astaxanthin esters. ....................................................................241
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`Claim 2. ..............................................................................................................243
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`Claim 3. ..............................................................................................................244
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`Claim 4. ..............................................................................................................245
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`Claim 5. ..............................................................................................................245
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`Claims 6 and 7. ...................................................................................................247
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`Claim 8. ..............................................................................................................249
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`Claim 9. ..............................................................................................................249
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`Claim 10. ............................................................................................................251
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`Ground 1 Motivation and Claims 1-10 are Obvious. ........................................252
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`GROUND 2 ............................................................................................................255
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`BREIVIK II, YOSHITOMI, BUDZIŃSKI, ...........................................................255
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`FRICKE, BOTTINO II, RANDOLPH ..................................................................255
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`CLAIMS 11-12 ......................................................................................................255
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`Claims 11 and 12................................................................................................255
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`Ground 2 Motivation and Claims 11 and 12 are Obvious. ................................257
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`GROUND 3 ............................................................................................................260
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`BREIVIK II, YOSHITOMI, BUDZIŃSKI, ...........................................................260
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`FRICKE, BOTTINO II, RANDOLPH, SAMPALIS I ..........................................260
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`CLAIMS 13-19 ......................................................................................................260
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`Claim 13. ............................................................................................................260
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`The recitation of Euphausia superba krill. ....................................................261
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`Obtaining a Euphausia superba Krill Meal by treating krill to .....................263
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`destroy the activity of lipases and phospholipases. .......................................263
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`Storing the Denatured Euphausia superba Krill Product Before Extracting
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`Krill Oil ..........................................................................................................265
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`Extracting Euphausia superba Krill Oil from ...............................................266
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`Stored Denatured Krill Meal with a Polar Solvent ........................................266
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`Euphausia superba krill oil with greater than ...............................................268
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`30% phosphatidylcholine w/w of said krill oil. .............................................268
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`Euphausia superba krill oil with less than.....................................................270
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`3% free fatty acids w/w of said Euphausia superba krill oil. ........................270
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`Euphausia superba krill oil with at least 100 mg/kg astaxanthin esters. ......271
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`Claim 14. ............................................................................................................272
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`Claim 15. ............................................................................................................273
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`Claim 16. ............................................................................................................275
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`Claim 17. ............................................................................................................276
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`Claims 18 and 19................................................................................................278
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`Ground 3 Motivation and Claims 13-19 are Obvious. ......................................279
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`CONCLUDING OPINION ....................................................................................282
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`APPENDIX A ........................................................................................................283
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`‘046 PATENT INVALDITY GROUNDS ............................................................283
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`‘046 PATENT CLAIM CHART ...........................................................................284
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`APPENDIX B ……………………………………………………………….... 300
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`APPENDIX C ………………………………………………………………… 304
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`APPENDIX D …………………………………………………….……………. 306
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`APPENDIX E …………………………………………………………………. 315
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`9
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`I, Dr Stephen J. Tallon, do hereby make the following declaration:
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`U.S. Patent No. 9,816,046 B2
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`AGREEMENT TO PROVIDE EXPERT TESTIMONY
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`1.
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`I have agreed to provide expert testimony in support of Rimfrost AS’s
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`Petition for Inter Partes Review of U.S. Patent No. 9,816,046 B2. My Curriculum
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`Vitae is attached hereto as Appendix C.
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`2.
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`I understand that this proceeding involves U.S. Patent No. 9,816,046 B2
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`(“the ‘046 Patent”) entitled “Bioeffective Krill Oil Compositions,” (EX1001).
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`3.
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`I was asked to review and did review the chain of provisional applications
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`referred to in the ‘046 Patent (Exhibits 1002-1005) for disclosures relating to ether
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`phospholipids (ether PL). I have reviewed each of the Provisional Applications,
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`Exhibits 1002-1005, to determine which if any provide written support for any
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`percentages of ether phospholipids by weight of krill oil. Only one of the
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`Provisional Applications disclose ether phospholipids. In my opinion, none of the
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`‘446, ‘058 and ‘483 Provisional Applications (Exhibits 1003-1005) mention the
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`term ether phospholipid or otherwise discuss or disclose the presence of ether
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`phospholipids in any amounts. In my opinion, as discussed below, only the ‘072
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`Application provides any written description regarding any percentage of ether
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`phospholipids by weight of krill oil. The other Provisional Applications, Exhibits
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`1003-1005, do not disclose or reference the existence of ether phospholipids.
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`4.
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`I have been asked to provide my opinion regarding whether one of ordinary
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`skill in the art at the relevant time would have understood that certain prior art
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`references, alone or in combination, disclose or teach each of the elements and
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`limitations recited in the claims of the ‘046 Patent. I have also been asked to
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`provide my opinion regarding whether a person of ordinary skill in the art (a
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`“POSITA”) would have been motivated or had a rationale or reason to modify or
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`combine those certain prior art references to arrive at the elements recited in the
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`claims of the ‘046 Patent. In my opinion, as discussed below, the references
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`discussed below disclose or teach each of the elements and limitations recited in
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`the claims of the ‘046 Patent and a POSITA would have had a strong rationale and
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`motivation to combine them and would have done so without undue
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`experimentation and with a reasonable expectation of success.
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`BASES FOR OPINIONS GIVEN
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`5.
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`In forming my opinion, I have relied on my own education, work
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`experiences and knowledge and my review of the documents described herein and
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`listed in Appendix E, attached hereto.
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`NO FINANCIAL INTEREST IN PROCEEDING
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`6.
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`For my work related to this Inter Partes Review, my employer, Callaghan
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`Innovation, receives compensation for my time. I am not directly compensated by
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`either Hoffmann and Baron, LLP or the Petitioner. I have no financial interest in
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`this proceeding, and the potential for any future financial benefit is unaffected by
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`the content of my testimony or the outcome of this proceeding. My compensation
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`from my employer, Callaghan Innovation, is not in any way related to the outcome
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`of the case.
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`QUALIFICATIONS AND RELEVANT EXPERIENCE
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`7.
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`I am currently employed as Team Manager of the Processing Team within
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`the Integrated Bioactive Technologies Group of Callaghan Innovation, at the
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`Gracefield Research Centre in Lower Hutt, New Zealand (an agency of the
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`Government of New Zealand). The Integrated Bioactive Technologies group
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`specializes in near to market research and development in the field of processing of
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`biologically-derived raw materials to make high value nutraceuticals, food
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`U.S. Patent No. 9,816,046 B2
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`ingredients and biopharmaceuticals. My research and expertise has helped to
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`enable a number of industries in New Zealand to make such products, including a
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`range of plant and marine derived extracts, including lipid extracts that are
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`produced using a supercritical fluid extraction process.
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`8.
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`Consequently, I have knowledge and expertise regarding methods of making
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`or extracting oils from crustaceans such as krill, including neutral and polar lipids,
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`and of their composition, including various extraction methods involving the use of
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`liquid and supercritical fluids, with and without polar co-solvents; and the polar
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`solvent extraction of marine biomasses to achieve the same aims. These
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`processing methods are now and were to a POSITA (see POSITA discussion
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`below) a matter of public knowledge. My CV is attached as Appendix C.
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`9.
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`I began developing supercritical CO2 + polar co-solvent extraction and
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`fractionation processes around 2003 with my colleague Dr Catchpole, and applied
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`them to biomasses containing phospholipids around 2004, and in particular to
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`marine and dairy biomasses. Around this time, I also investigated the use of
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`dimethyl ether (DME) for extracting phospholipids, again mainly from marine and
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`dairy biomasses.
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`10. Around this time, 2003-2004, Dr Andrew Mackenzie, also part of the
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`U.S. Patent No. 9,816,046 B2
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`Integrated Bioactive Technologies group, developed an NMR-based method for
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`analyzing and quantifying phospholipids, based on the 31P isotope. This analysis
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`method was able to distinguish between very closely related phospholipids, such as
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`phosphatidylcholine (PC) and its ether-lipid analogue
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`alkylacylphosphatidylcholine (AAPC); and phosphatidylethanolamine (PE) and its
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`ether analogues phosphatidylethanolamine plasmalogen and
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`alkylacylphosphatidylethanolamine (AAPE).
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`11. Prior to the use of 31P NMR to determine the ether phospholipid content of
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`phospholipid lipids, and though other methods for analyzing same were available,
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`it was common industry practice to report only the total phospholipid content for
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`the phosphatidylcholine (PC) and phosphatidylethanolamine (PE) lipid
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`components. Thus, when the amount of the PC lipid component was reported, the
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`number reported included not only PC, but its ether-lipid analogue
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`alkylacylphosphatidylcholine (AAPC). The total then reported being the sum of the
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`non-ether phospholipids and ether phospholipids. In a like manner, when the
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`amount of the phosphatidylethanolamine (PE) component was reported, the
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`number reported included not only PE, but its ether analogues
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`phosphatidylethanolamine plasmalogen (PE plasmalogen) and
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`alkylacylphosphatidylethanolamine (AAPE) as well.
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`12. When the industry began to accept the 31P NMR standard for the first time
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`the ether-phospholipid components started to be consistently reported as separate
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`constituents.
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`13.
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`In 2006 the Integrated Bioactive Technologies group of Callaghan
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`Innovation (of which I am a part), began to work collaboratively with Nutrizeal
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`Ltd (founded 1995), now operating as Pharmalink Extracts, Ltd. (Nelson, New
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`Zealand) on the extraction of dry krill powder to produce krill lipid extracts
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`enriched in phospholipids, and to provide a detailed compositional analysis of
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`those natural extracts.
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`14. The work of the Integrated Bioactive Technologies group on the extraction
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`of phospholipids using CO2 and CO2+ polar co-solvent led us to discover that we
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`could separate different types of phospholipids based on their solubility. Work was
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`performed on a variety of biomasses including krill, which demonstrated that a
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`phospholipid-rich extract containing both ether and non-ether phospholipids was
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`obtained. This work is described in WO 2007/123424, published November 2007,
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`based on International Application Number PCT/NZ/2007/000087, Catchpole and
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`Tallon, International Filing Date April 20, 2007 (Catchpole, Example 18 and Table
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`U.S. Patent No. 9,816,046 B2
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`16, p. 24, EX1009, p. 0024).
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`15. The 31P-NMR analysis method used in Catchpole (pp. 14 & 24, EX1009, pp.
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`0014 & 0024) demonstrated that ether phospholipids were an intrinsic constituent
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`of the lipid composition of many marine organisms, including krill and krill meal
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`and provided a direct determination of the amounts of ether phospholipids present.
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`16. We also performed lipid analysis work on existing commercial krill lipid
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`products that were supplied to us by Nutrizeal in 2006. Upon information and
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`belief, these products were Neptune Krill Oil (NKO), a.k.a. “Krill Bill”, with the
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`krill oil in the form of gelatine capsules as taken from a Krill Bill bottle shown
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`below (see EX1069); and Aquasource Krill Oil (Antarctica Select), again with the
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`krill oil in the form of gelatine capsules (see EX1071 for 2006 online Aquasource
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`Antarctica Krill Oil disclosures). In 2006, the product specification for Krill Bill
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`krill oil disclosed that the krill oil contained greater than 40% phospholipids and
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`greater than 1500 mg/kg astaxanthin esters. See EX1070 (see EX1076 from
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`Internet Archive regarding contents of EX1070 and EX1071).
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`17. The encapsulated krill oils were analyzed and found to contain, among the
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`phospholipids, both non-ether phospholipids and ether phospholipids, and high
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`levels of omega-3 fatty acids (polyunsaturated fatty acids which have an
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`unsaturated bond at the third carbon from the terminal end, commonly reported as
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`ω-3, n-3, or omega-3) including eicosapentaenoic acid (EPA) and docosahexaenoic
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`acid (DHA) attached to the phospholipids.
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`18.
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`Individuals from Industrial Research Limited, New Zealand (IRL, now
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`known as Callaghan Innovation, New Zealand), developed methods of extracting
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`krill oil from krill and analyzing the resulting krill oil product during the period of
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`at least 2003-2006. The extraction methods used involved CO2 extraction with and
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`without a polar entrainer. These extraction and analysis methods were later used in
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`performing work for a third party. The work included the results reported in the
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`‘046 Patent in Tables 22 and 23, and in the text of the patent (see, e.g., ‘046 Patent,
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`Example 8, 33:19-34:5, EX1001, p. 0042), pertaining to, among other things, the
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`ether phospholipids in krill oil extracts, and providing the only support for the
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`ether phospholipids disclosed in the ‘046 Patent. Additional results are reported in
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`the ‘072 Provisional Application. See, e.g., ‘072 Provisional Application, pp. 44-
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`52, EX1002, pp. 0047-0055.
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`19. The ‘046 Patent does not identify individuals at IRL who conceived and
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`developed this work as inventors of the ‘046 Patent, a component whose presence
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`the applicants for the ‘046 Patent argued, in the patent application for the related
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`patent U.S. 9,644,170 (‘170 Patent, EX1093, distinguished it from the prior art
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`NKO krill oil product.1 The relationship between the ‘170 Patent and the ‘046
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`U.S. Patent No. 9,816,046 B2
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`Patent is diagrammed in Chart I below. The ‘170 Patent and the ‘046 Patent are
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`continuations of the U.S. Patent No. 9,375,453 B2 (the ‘453 Patent, EX1067).
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`20. By 2006 and even before, EPA, DHA and phospholipids were associated
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`with beneficial health and were recognized to be important compounds for use in
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`the nutraceutical industry and they remain so today. See, e.g., Aquasource
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`Antarctica Select Krill Oil published literature from 2006 shown in EX1071.
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`21. Since 2006 I have continued to work with, among other things, krill and krill
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`oils, including analysis of the components, development of extraction processes for
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`further fractionation of the components, and product concepts thereof.
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`1 See “Response to Office Action”, October 12, 2016, ‘170 Patent File History,
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`Exhibit 1063, pp. 0438-0447, see p. 0446. See also, “Applicant-Initiated Interview
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`Summary”, October 20, 2016, ‘170 Patent File History, Exhibit 1063, pp. 0582-
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`0584.
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`RELEVANT CONSIDERATIONS
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`22.
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`23.
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`I provide my opinions in this declaration as informed below.
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`I have been informed that to be entitled to an earlier priority date each claim
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`limitation must be expressly, implicitly, or inherently supported in the originally
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`filed disclosure, in this case in the Provisional Applications Exhibits 1002-1005.
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`24.
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`I have been informed that to benefit from a claim of priority to an originally
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`filed disclosure, the originally filed disclosure must contain a written description of
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`the invention as claimed in the later application (the ‘046 Patent), and of the
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`manner and process of making and using it, in such full, clear, concise, and exact
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`terms as to enable any person of ordinary skill in the art to make and use the
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`invention as claimed. I have been informed that to meet this requirement, the
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`originally filed disclosure must reasonably convey to one of skill in the art that the
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`inventor possessed the later-claimed subject matter at the time the parent
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`application was filed. I have been further informed, a disclosure in a parent
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`application (the originally filed disclosure) that merely renders the later-claimed
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`invention obvious is not sufficient to meet the written description requirement; the
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`disclosure itself must describe the claimed invention with all its limitations.
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`25.
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`I have been further informed that to determine if the later application, that is,
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`the ‘046 Patent, is to receive the benefit of an earlier filed application or patent is
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`whether a person of ordinary skill in the art would recognize that the applicant
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`possessed what is claimed in the later filed application as of the filing date of the
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`earlier filed application or patent. The disclosure as originally filed in the earlier
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`applications or patent must convey with reasonable clarity to those skilled in the art
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`that the inventor was in possession of the invention. That is, one skilled in the art,
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`reading the original disclosure, must immediately discern the limitation at issue in
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`the claims.
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`26.
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`I have been informed that these requirements for written support, possession
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`of the invention and enablement, are referred to as § 112(a) requirements. I have
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`further been informed that if a patent’s claims do not have § 112(a) support, it is
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`unpatentable and invalid.
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`27.
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`I have been informed that a claimed invention is unpatentable if the
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`differences between the invention and the prior art are such that the subject matter
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`as a whole would have been obvious at the time the alleged invention was made to
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`a person having ordinary skill in the art to which the subject matter pertains. I
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`have also been informed that an obviousness analysis takes into account factual
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`inquiries including the level of a person of ordinary skill in the art, the scope and
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`content of the prior art, and the differences between the prior art and the claimed
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`subject matter.
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`28.
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`I have been informed that there are several accepted rationales for
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`U.S. Patent No. 9,816,046 B2
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`combining references or modifying a reference to show obviousness of the claimed
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`subject matter. Some of these rationales include the following: combining prior art
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`elements according to known methods to yield predictable results; simple
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`substitution of one known element for another to obtain predictable results; a
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`predictable use of prior art elements according to their established functions;
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`applying a known technique to a known device to yield predictable results;
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`choosing from a finite number of identified, predictable solutions, with a
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`reasonable expectation of success; and some teaching, suggestion, or motivation in
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`the prior art that would have led one of ordinary skill to modify the prior art
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`reference or to combine prior art reference teachings to arrive at the claimed
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`invention.
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`29.
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`I have been informed that “a person of ordinary skill in the art”, a POSITA,
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`is not a specific, real individual, but rather a hypothetical individual or team of
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`individuals working closely together, who is presumed to have known the relevant
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`art at the time of the invention. In defining the POSITA, I have been informed to
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`consider factors such as the educational level and years of experience not only of
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`the person or persons who have developed the invention that is the subject of the
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`case, but also others working in the pertinent art at the time of the invention; the
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`types of problems encountered in the art; the teachings of the prior art; patents and
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`publications of other persons or companies; and the sophistication of the
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`technology.
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`30.
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`I have been informed that claim terms are interpreted according to their
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`broadest reasonable construction in light of the specification of the ‘046 Patent in
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`which they appear and that the patent claim terms are also given their ordinary and
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`customary meaning as would be understood by a