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`Paper No. 16
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`_______________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_______________________
`
`RIMFROST AS
`
`Petitioner
`
`v.
`
`AKER BIOMARINE ANTARCTIC AS
`
`Patent Owner
`
`_______________________
`
`Case: IPR2020-01533
`
`U.S. Patent No. 9,816,046 B2
`
`_______________________
`
`PETITIONER’S FIRST UPDATED
`
`EXHIBIT LIST
`
`
`
`
`
`
`
`
`
`
`
`PETITIONER’S FIRST UPDATED EXHIBIT LIST
`
`EXHIBIT NO.
`
`EXHIBIT DESCRIPTION
`
`1001
`
`1002
`
`
`1003
`
`
`1004
`
`
`1005
`
`
`1006
`
`1007
`
`
`1008
`
`
`1009
`
`
`
`U.S. Patent No. 9,816,046, issued November 14, 2017.
`
`U.S. Provisional Patent Application No. 61/024,072, filed
`January 28, 2008 (‘072 Provisional).
`
`U.S. Provisional Patent Application No. 60/983,446, filed
`October 29, 2007 (‘446 Provisional).
`
`U.S. Provisional Patent Application No. 60/975,058, filed
`September 25, 2007 (‘058 Provisional).
`
`U.S. Provisional Patent Application No. 60/920,483, filed
`March 28, 2007 (‘483 Provisional).
`
`Declaration of Stephen Tallon.
`
`Bottino, N.R., “The Fatty Acids of Antarctic Phytoplankton and
`Euphausiids. Fatty Acid Exchange among Trophic Levels of the
`Ross Sea,” 1974, Marine Biology, 27, 197-204 (Bottino I).
`
`Budziński, E., P. Bykowski and D. Dutkiewicz, 1985,
`Possibilities of processing and marketing of products made
`from Antarctic krill. FAO Fish.Tech. Pap., (268):46,
`(Budzinski).
`
`Catchpole and Tallon, WO 2007/123424, published November
`1, 2007, “Process for Separating Lipid Materials,” (Catchpole).
`
`
`
`1010
`
`
`1011
`
`
`1012
`
`
`1013
`
`
`1014
`
`1015
`
`
`1016
`
`1017
`
`
`1018-1019
`
`Fricke et al., “Lipid, Sterol and Fatty Acid Composition of
`Antarctic Krill (Euphausia superba Dana),” LIPIDS
`19(11):821-827 (1984) (Fricke I).
`
`Randolph, et al., U.S. Patent Application Publication No.
`US/2005/0058728 A1, “Cytokine Modulators and Related
`Method of Use” (Randolph).
`
`Sampalis [I] et al., “Evaluation of the Effects of Neptune Krill
`Oil™ on the Management of Premenstrual Syndrome and
`Dysmenorrhea” Altern. Med. Rev. 8(2):171-179 (2003)
`(Sampalis I).
`
`Sampalis [II] et al.,WO 2003/011873, published February 13,
`2003, “Natural Marine Source Phospholipids Comprising
`Flavonoids, Polyunsaturated Fatty Acids and Their
`Applications” (Sampalis II).
`
`Reserved.
`
`Tanaka et al., “Extraction of Phospholipids from Salmon Roe
`with Supercritical Carbon Dioxide and an Entrainer”, Journal of
`Oleo Science Vol. 53 (2004) No. 9, p.17-424 (Tanaka 2004).
`
`Reserved.
`
`Folch et al., “A simple method for the isolation and purification
`of total lipides from animal tissues”, J. Biol. Chem. (1957) 226:
`497-509 (Folch).
`
`Reserved.
`
`
`
`1020
`
`
`1021-1023
`
`
`1024
`
`
`
`
`
`
`
`
`
`
`
`1025-1026
`
`1027
`
`
`1028
`
`
`1029
`
`1030
`
`
`1031
`1032
`
`
`
`
`Bunea, et al., “Evaluation Of The Effects Of Neptune Krill Oil
`On The Clinical Course Of Hyperlipidemia”, Altern Med Rev.
`2004; 9:420–428 (Bunea).
`
`Reserved.
`
`File History to U.S. Patent No. 9,034,388 B2, Serial No,
`12/057,775 (‘388 File History)
`1024 Part 1 - Pages 1-450
`1024 Part 2 - Pages 451-900
`1024 Part 3 - Pages 901-1350
`1024 Part 4 - Pages 1351-1800
`1024 Part 5A - Pages 1801-2025
`1024 Part 5B - Pages 2026-2250
`1024 Part 6 - Pages 2251-2700
`1024 Part 7 - Pages 2701-3083
`1024 Part 8 - Pages 3084-3223.
`
`
`
`
`
`Reserved.
`
`Saether et al., “Lipolysis post mortem in North Atlantic krill”.
`Comp. Biochem. Physiol. Vol. 83B, No. 1, pp. 51-55, 1986
`(Saether).
`
`Hawley’s Condensed Chemical Dictionary, p. 893, 13th
`ed.,1997 (Hawley’s)
`
`Reserved.
`
`Tehoharides, U.S. Patent Application Publication No.
`US/2006/0013905 A1, “Anti-Inflammatory Compositions For
`Treating Multiple Sclerosis” (Tehoharides).
`
`Reserved.
`Grantham, G.J., “The Utilization Of Krill”, UNDP/FAO
`Southern Ocean Fisheries Survey Programme (1977)
`(Grantham).
`
`
`
`1033
`
`
`1034
`
`1035
`
`
`1036
`
`
`1037
`
`
`1038
`
`
`1039
`
`
`1040-1042
`
`Yoshitomi, U.S. Patent Application Publication No.
`US/2003/0113432 A1, “Process For Making Dried Powdery
`and Granular Krill” (Yoshitomi).
`
`Reserved.
`
`Breivik, U.S. Patent Application Publication No. US
`2010/0143571 A1, “Process for Production of Omega-3 Rich
`Marine Phospholipids from Krill” (Breivik I).
`
`Breivik, U.S. Provisional Patent Application No. 60/859,289,
`“Processes for production of omega-3 rich marine
`phospholipids from krill”, filed November 16, 2006 (Breivik
`‘289 Provisional, Breivik III).
`
`Breivik, WO 2008/060163 A1, “Process for Production of
`Omega-3 Rich Marine Phospholipids from Krill,” International
`filing date November 15, 2007 (Breivik II).
`
`Bottino, N.R., “Lipid Composition of Two Species of Antarctic
`Krill: Euphausia Superba and E. Crystallorophias”, Comp.
`Biochem. Physiol., 1975, Vol. 50B, pp. 479 to 484 (Bottino II).
`
`Grynbaum, M., et al. “Unambiguous detection of astaxanthin
`and astaxanthin fatty acid esters in krill (Euphausia superba
`Dana)”, J. Sep. Sci., 28, 1685–1693 (2005).
`
`Reserved.
`
`
`
`1043
`
`
`1044-1046
`
`1047
`
`1048-1053
`
`1054
`
`
`1055
`
`
`
`
`
`
`1056-1058
`
`1059
`
`
`1060-1062
`
`Bruheim, U.S. Patent Application Publication No.
`US2008/0274203 A1, published November 6, 2008 (this is the
`publication of patent application serial no. 12/057,775 which
`issued as U.S. Patent No. of 9,034,388).
`
`Reserved.
`
`U.S. Patent No. 9,034,388 B2, filed May 28, 2008 (‘388
`Patent).
`
`Reserved.
`
`Notice of Commission Determination ending Investigation 337-
`TA-1019, dated May 23, 2017.
`
`File History to U.S. Patent No. 9,375,453 B2, Serial No,
`14/020,162 (‘453 File History)
`
`1055 Part 1 - Pages 1-400
`1055 Part 2 - Pages 401-800
`1055 Part 3 - Pages 801-1109
`
`
`
`Markman Order (Public Version), Order 13, U.S. International
`Trade Commission, In the Matter of Certain Krill Oil Products
`and Krill Meal for Production of Krill Oil Products, Inv. No.
`337-TA-1019, dated April 13, 2017.
`
`Reserved.
`
`
`
`1063
`
`
`
`
`1064-1066
`
`1067
`
`1068
`
`1069
`
`1070
`
`
`1071
`
`File History to U.S. Patent No. 9,644,170 B2, Serial No,
`15/180,439 (‘170 File History)
`1063 Part 1 - Pages 1-400
`1063 Part 2 - Pages 401-800
`1063 Part 3 – Pages 801-1107.
`
`Reserved.
`
`U.S. Patent No. 9,375,453 B2, filed September 6, 2013 (‘453).
`
`U.S. Patent No. 9,028,877 B2, filed September 18, 2014 (‘877).
`
`Krill Bill Bottle and Capsules from IRL.
`
`Krill Bill Online Purchase Order and Specification Pages from
`2006 (https://web.archive.org/web/20060715103715/http://
`www.krillbill.com:80/purchase.htm;
`https://web.archive.org/web/20060715103809/http://www.krillb
`ill.com/profile.htm). See Exhibit 1076.
`
`Antarctica Select Krill Oil Online Literature and Purchase
`Order Form and linked FDA webpage from 2006
`(https://web.archive.org/web/20060816050841/http://www.aqu
`asourceproducts.com:80/store/;
`https://web.archive.org/web/20060816051010/http://www.aqua
`sourceproducts.com:80/krill_oil.html;
`https://web.archive.org/web/20060506115548/
`http://www.aquasourceproducts.com:80/resources.html?osCsid
`=aee4bb3df08470be3a75bc598448dabc;
`https://web.archive.org/web/20060513152744/http://vm.cfsan.f
`da.gov/~dms/ds-oview.html). See Exhibit 1076.
`
`
`
`1072
`
`
`1073-1074
`
`1075
`
`
`1076
`
`
`1077
`
`
`1078-1079
`
`1080
`
`
`1081-1083
`
`
`Chen, U.S. Patent Application Publication No. US
`2008/0021000 A1, for “Mixtures of and Methods of Use for
`Polyunsaturated Fatty Acid-Containing Phospholipids and
`Alkyl Ether Phospholipids Species”, filing date July 19, 2006,
`publication date January 24, 2008.
`
`Reserved.
`
`Neptune, GRAS Notice [No. GRN 000242] for “High
`Phospholipid Krill Oil”
`https://www.fda.gov/downloads/Food/IngredientsPackagingLab
`eling/GRAS/NoticeInventory/ucm269133.pdf, dated January
`18, 2008 and filed by the FDA February 4, 2008 (Neptune
`GRAS); see also https://wayback.archive-
`it.org/7993/20170607013925/https://www.fda.gov/downloads/F
`ood/IngredientsPackagingLabeling/GRAS/NoticeInventory/UC
`M269133.pdf.
`
`Affidavit of Christopher Butler, Office Manager of Internet
`Archive, dated November 8, 2017, for Rimfrost Exhibits 1070
`and 1071, regarding Krill Bill, Aquasource and FDA related
`webpages from 2006.
`
`Pure Encapsulations online literature for its Krill-plex NKO™
`product, webpage from August 19, 2004.
`https://web.archive.org/web/20040819183137/www.purecaps.c
`om/itemdy00.asp?T1=KP1. See Exhibt 1092.
`
`Reserved.
`
`Hoem, N., “Composition of Antarctic krill oil and methods for
`its harvesting, production and qualitative and quantitative
`analysis”, Aker BioMarine, Newcastle Australia November
`2013 (Hoem).
`
`Reserved.
`
`
`
`1084
`
`1085
`
`1086
`
`1087-1091
`
`1092
`
`
`
`
`1093
`
`1094-1096
`
`1097
`
`
`1098
`
`
`1099
`
`Mayzaud et al, “Changes in lipid composition of the Antarctic
`krill Euphausia superba in the Indian sector of the Antarctic
`Ocean: influence of geographical location, sexual maturity
`stage and distribution among organs” Marine Ecology Progress
`Series, Vol. 173: 149-162 (1998) (Mayzaud).
`
`Reserved.
`
`Reply Declaration of Dr Stephen J. Tallon
`
`Reserved.
`
`Affidavit of Christopher Butler, Office Manager of Internet
`Archive, dated February 5, 2018, regarding Rimfrost
`Exhibit 1077, Pure Encapsulations online literature for its Krill-
`plex NKO™ product, webpage from August 19, 2004.
`
`U.S. Patent No. 9,644,170 B2, filed June 13, 2016 (‘170)
`
`Reserved.
`
`Britton, G., Structure and properties of carotenoids in relation
`to function, FASEB J, 9, 1551-1558,1995.
`
`Yuan, “Characteristics and chromatographic separation of
`astaxanthin and its esters from the microalga Haematococcus
`pluvialos,” Doctoral Thesis, The University of Hong Kong,
`1999 (http://dx.doi.org/10.5353/th_b3123971).
`
`Mimoun-Benarroch, et al., The Bioavailability of Astaxanthin is
`Dependent on both the Source and the Isomeric Variants of the
`molecule, Bulletin of University of Agricultural Sciences and
`Veterinary Medicine Cluj-Napoca: Food Science and
`Technology, Volume 73, Number 2, 2016, pp. 61-69(9).
`
`
`
`1100
`
`
`1101
`
`
`1102
`
`
`1103
`
`
`1104
`
`
`1105-1109
`
`1110
`
`1111
`
`
`1112
`
`1113
`
`
`1114
`
`Higuera-Ciapara, et al., Astaxanthin: A Review of its Chemistry
`and Applications, Crit Rev Food Sci Nutr. 2006;46(2):185-96.
`
`Lambertsen, et al., Method of Analysis of Astaxanthin and its
`Occurrence in some Marine Products, J. Sci. of Food and
`Agriculture, 1971, Vol. 22, February.
`
`Foss, et al., Natural occurrence of enantiomeric and Meso
`
`astaxanthin 7∗-crustaceans including zooplankton,
`
`Comparative Biochemistry and Physiology Part B:
`Comparative Biochemistry, Volume 86, Issue 2, 1987, Pages
`313-314.
`
`Final Written Decision, IPR2017-00745, August 10, 2018,
`Paper 24 (U.S. Patent No. 9,078,905).
`
`Final Written Decision, IPR2017-00746, August 10, 2018,
`Paper 23 (U.S. Patent No. 9,028,877).
`
`Reserved.
`
`U.S. Patent No. 9,644,169, issued May 9, 2017.
`
`File History for U.S. Patent No. 9,644,169, serial no.
`15/180,431.
`
`Reserved.
`
`File History for U.S. Patent No. 9,816,046, serial no.
`15/589,572.
`
`U.S. Patent No. 10,010,567, issued July 3, 2018.
`
`
`
`1115
`
`
`1116
`
`1117
`
`1118
`
`1119-1128
`
`1129
`
`
`1130-1153
`
`1154
`
`
`1155
`
`
`1156
`
`
`1157
`
`
`1158
`
`1159
`
`
`
`
`
`
`File History for U.S. Patent No. 10,010,567, serial no.
`15,589,605.
`
`U.S. Patent No. 9,078,905 B2, issued July 14, 2015.
`
`U.S. Patent No. 9,320,765 B2, issued April 26, 2016.
`
`U.S. Patent No. 9,072,752 B2, issued July 7, 2015.
`
`Reserved.
`
`Final Written Decision, IPR2018-00295, June 12, 2019, Paper
`35 (U.S. Patent No. 9,320,765).
`
`Reserved.
`
`Aker Biomarine Antarctic AS v. Rimfrost AS, Nos. 2019-1097,
`2019-1078 (Fed. Cir. Oct. 3, 2019)
`
`Inter Partes Review Certificate US 9,028,877 Kl cancelling all
`claims of U.S. Patent No. 9,028,877, issued March 12, 2020.
`
`Inter Partes Review Certificate US 9,078,905 Kl cancelling all
`claims of U.S. Patent No. 9,078,905, issued March 11, 2020.
`
`Final Written Decision Determining All Challenged Claims
`[claims 1–32] Unpatentable and Denying Patent Owner’s
`Motion to Amend, IPR2018-01178, Patent 9,375,453 B2, dated
`January 13, 2020.
`
`Final Written Decision Determining All Challenged Claims
`[claims 33–61] Unpatentable and Denying Patent Owner’s
`Motion to Amend, IPR2018-01179, Patent 9,375,453 B2, dated
`January 13, 2020.
`Final Written Decision Determining All Challenged Claims
`[claims 1-20. i.e., all claims] Unpatentable and Denying Patent
`Owner’s Motion to Amend, IPR2018-01730, Patent 9,072,752
`B2, dated March 6, 2020.
`
`
`
`
`
`
`
`
`
`U.S. Patent No. 9,816,046 B2
`
`Fricke et al., “1-O-Alkylglycerolipids in Antarctic krill
`(Euphausia superba Dana),” Comparative Biochemistry and
`Physiology Part B: Comparative Biochemistry, Volume 85,
`Issue 1, 1986, Pages 131-134(Fricke II).
`
`Reserved.
`
`Ballantine, J.A., Roberts, J.C., and Morris, R.J. (1980), “Marine
`Sterols. XII. The Sterols of Some Pelagic Marine Crustaceans”
`J. Exp. Mar. Biol. Ecol. 47, 25-33.
`
`Reserved.
`
`Deposition Transcript of Dr. Jacek Jaczynski, taken September
`13, 2021.
`
`IPR2020-01533
`
`1160
`
`
`1161-1166
`
`1167
`
`
`1168-1169
`
`1170.
`
`
`
`
`
`
`
`
`
`
`
`Dated: September 28, 2021
`
`
`
`
`
`Respectfully submitted,
`
`By: /Michael I. Chakansky/
`Michael I. Chakansky (Reg. No. 31,600)
`Hoffmann & Baron, LLP
`4 Century Drive
`Parsippany, N.J. 07054
`mchakansky@hbiplaw.com
`Tel: 973.331.1700
`
`First Back-Up Counsel for Petitioner
`
`
`
`
`
`
`
`3
`
`
`
`IPR2020-01533
`
`
`
`
`
`
`
`U.S. Patent No. 9,816,046 B2
`
`
`
`
`CERTIFICATE OF SERVICE
`
`I hereby certify that on this the 28th day of September, 2021, the
`
`foregoing PETITIONER’S FIRST UPDATED EXHIBIT LIST was served in its
`
`entirety on the following counsel of record by electronic service by email at the
`
`email addresses as set forth below in accordance with the consent set forth in
`
`Patent Owner’s Mandatory Notices Pursuant to 37 C.F.R. § 42.8.
`
`David A. Casimir
`J. Mitchell Jones
`CASIMIR JONES S.C.
`2275 Deming Way, Suite 310
`Middleton, WI 53562
`docketing@casimirjones.com
`dacasimir@casimirjones.com
`jmjones@casimirjones.com
`
`By: /Michael I. Chakansky/
`Michael I. Chakansky (Reg. No. 31,600)
`Hoffmann & Baron, LLP
`4 Century Drive
`Parsippany, N.J. 07054
`mchakansky@hbiplaw.com
`Tel: 973.331.1700
`
`4
`
`
`
`
`
`
`
`
`
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