STEARNS, District Judge.
Acusphere, Inc., and its exclusive licensee Cephalon, Inc. (collectively, Acusphere), brought this lawsuit against Celgene Corp. and Abraxis BioScience, LLC (collectively, Celgene),
The '493 patent teaches a pharmaceutical composition of paclitaxel that dissolves more than a thousand times faster than non-formulated paclitaxel. Paclitaxel is a taxane compound extracted from the bark of the Pacific yew tree. Taxanes are chemotherapeutic agents that slow the spread of tumor cells in the body by inhibiting cell division. Taxanes, however, are nearly indissoluble in water, making dosages difficult to administer without causing extreme discomfort. The prior formulation of paclitaxel required several hours to infuse and contained Cremophor—a solubizing agent that can cause severe allergic reactions. The '493 patent teaches a remedy for insolubility by integrating paclitaxel (or another taxane) into a dry, porous matrix containing pharmaceutical excipients. Immersed in water, the matrix releases nanoparticles and microparticles of paclitaxel. These particles, in turn, exhibit increased aqueous solubility and dissolve rapidly when diluted in a parenteral fluid medium prior to intravenous injection.
Claim construction is a question of law for the court's determination. Markman v. Westview Instruments, Inc., 52 F.3d 967, 970-971 (Fed.Cir.1995) (en banc). In performing the required analysis, the court first looks to the language of the claims themselves. "It is a bedrock principle of patent law that the claims of a patent define the invention to which the patentee is entitled the right to exclude." Phillips v. AWH Corp., 415 F.3d 1303, 1312 (Fed.Cir.2005) (internal quotation marks and citation omitted). A claim term is to be construed in accordance with its "ordinary and customary meaning," which is the "meaning that the term would have to a person of ordinary skill in the art [PHOSITA] in question at the time of the invention, i.e. as of the effective filing date of the patent application." Id. at 1312. The ordinary and customary meaning of a claim term is determined "in the context of the entire patent, including the specification." Id. at 1313.
Because the purpose of the specification is to teach one skilled in the art the process for replicating the invention, the specification will, in most cases, be "`dispositive; it is the single best guide to the meaning of a disputed term.'" Id. at 1315, quoting Vitronics Corp. v. Conceptronic, Inc., 90 F.3d 1576, 1582 (Fed.Cir. 1996). "[T]he specification may reveal a special definition given to a claim term by a patentee that differs from the meaning it
The final element of intrinsic evidence to which a court may turn for guidance is the prosecution history of the patent. While it may not be as reliable as the specification, the prosecution history "can often inform the meaning of the claim language by demonstrating how the inventor understood the invention and whether the inventor limited the invention in the course of prosecution, making the claim scope narrower than it would otherwise be." Phillips, 415 F.3d at 1317. "Where an applicant argues that a claim possesses a feature that the prior art does not possess in order to overcome a prior art rejection, the argument may serve to narrow the scope of otherwise broad claim language." Seachange Int'l, Inc. v. C-COR Inc., 413 F.3d 1361, 1372-1373 (Fed.Cir. 2005).
The disputed terms are part of all asserted claims. Independent Claim 1 of the '493 patent is representative.
All of the asserted claims require a matrix formed of, inter alia, "nanoparticles and microparticles of taxane . . . hav[ing] a mean diameter between about 0.01 and 5μm. . . ." Acusphere argues that because there are no universally accepted size ranges distinguishing nanoparticles from microparticles, it acted as its own lexicographer for purposes of the '493 patent in assigning the particles an undifferentiated diameteric range. Celgene responds that for a PHOSITA, the terms refer to two distinct types of particles, differentiated from one another by size, with nanoparticles being the smaller of the two. Celgene argues that in ordinary usage, nanoparticles are understood to have a diameter between 1 and 1,000 nanometers (nm), while microparticles have a diameter between 1 to 1,000 microns (μm). Morever, according to Celgene, Acusphere's lexicographic argument conflates the diameters of particles in a composition with the mean diameter of the population, which renders any distinction between nanoparticles and microparticles in the claims meaningless. As Celgene sees it, "a mean diameter value does not inform a PHOSITA about the size of any particle in a composition, and therefore cannot define whether a composition contains nanoparticles, microparticles, or both." Def.'s Reply Br. at 1-2. Stated another way, if "nanoparticles and microparticles" are defined
Finally, Celgene argues that the prosecution history contradicts Acusphere's proposed construction. Claim 1 of what is now the '493 patent originally described the porous matrix as formed of "microparticles of a taxane," with no mention of nanoparticles. The Examiner rejected the claim as obvious based principally on the Desai and Hanes prior art. The Examiner wrote that "a composition and methods for making such, containing paclitaxel and a surfactant, in micron size and with a reduced surface area would have been known to one with ordinary skill in the art." Office Action, Nov. 28, 2001, at 4 (emphasis added). In response to this rejection, Acusphere substituted "nanoparticles and microparticles" in place of "microparticles" in the claims, without altering the size range of the particles (0.01 to 5μm), arguing that the Hanes patent disclosed compositions containing microparticles, but not nanoparticles. PTO Corr., Feb. 22, 2002, at 6.
The Examiner again rejected the claims, writing that although Acusphere "asserts that Hanes does not teach the use of nanoparticles in his formulation . . . it is the examiner's understanding that nanoparticles is merely the size of a particle, and whereas Hanes does not explicitly state the use of nanoparticles, Hanes does teach using particles the same size as the instant invention (5μm)." Office Action, June 3, 2002, at 3. Again responding, Acusphere argued that Desai teaches compositions of nanoparticles and Hanes compositions of particles greater than 5μm. PTO Corr., Aug. 7, 2002, at 5. In distinguishing the '493 patent from the prior art, Acusphere wrote that
Id. at 5 (emphasis deleted).
While there is no universally agreed definition of the size of a nanoparticle (some sources place the upper range as low as 100nm), the better evidence is that Acusphere's '493 patent in fact relies on the widely accepted definition propounded by Celgene. Telling in this regard is a 1996 textbook co-authored by Howard Bernstein, one of the named inventors on the '493 patent, which states that "[t]he size range covered by microparticles is, according to definition, between 1 and 1000m," while nanoparticles range from "1 to 1000nm." Microparticulate Systems for the Delivery of Proteins and Vaccines (Smadar Cohen and Howard Bernstein eds., 1996) at 62. Even more telling is the fact that other Acusphere patents in the same field, many credited to the inventors of the '493 patent, incorporate the definition taught by Cohen & Bernstein.
It is true, as Acusphere reminds us, that an inventor is entitled to deference when it acts as its own lexicographer. See CCS Fitness, Inc. v. Brunswick Corp., 288 F.3d 1359, 1366-1367 (Fed.Cir.2002) (the heavy presumption in favor of ordinary meaning can be overcome when the patentee-lexicographer
Acusphere's proposed construction is difficult to square with the claims language of the patent. Claim 1 requires that the matrix be "formed of . . . nanoparticles and microparticles of a taxane, wherein the nanoparticles and microparticles have a mean diameter between about 0.01 and 5μm and a total surface area greater than about 0.5m
Finally, the prosecution history provides convincing evidence that Acusphere limited the scope of the '493 patent by distinguishing nanoparticles and microparticles by their size. After an initial rejection by the Examiner based in part on the "micron size" of the particles disclosed in the patent, Acusphere added nanoparticles to the claims and distinguished the claimed invention from the prior art by asserting that Hanes' compositions did not include nanoparticles. Although the Examiner appears to have rejected Acusphere's traversal because of the upper range (5μm) of the particles disclosed in the '493 composition, it is clear from the prosecution history that Acusphere's position before the PTO was that the formulations of the '493 patent included two separate types of particles, characterized by their size. See
For the above reasons, Celgene's construction will be adopted. See Texas Digital Sys., Inc. v. Telegenix, Inc., 308 F.3d 1193, 1202 (Fed.Cir.2002) ("[U]nless compelled otherwise, a court will give a claim term the full range of its ordinary meaning as understood by persons skilled in the relevant art.") (emphasis added).
The parties next dispute whether the claim term "of a taxane" requires that the particles be composed only of a taxane drug. Claim 1 reads in relevant part: "A pharmaceutical composition comprising a porous matrix formed of a hydrophilic excipient, a wetting agent and nanoparticles and microparticles of a taxane. . . ." Acusphere argues that because the claim uses the term "comprising," the composition includes, but is not limited to, taxane particles. See, e.g., Crystal Semiconductor Corp. v. TriTech Microelectronics Int'l, Inc., 246 F.3d 1336, 1348 (Fed.Cir.2001). The term "comprising" as used in patent law is an open-ended transitional term, and as utilized in the '493 patent, appears intended to accommodate additional unspecified components of the claimed "pharmaceutical composition." See Moleculon Research Corp. v. CBS, Inc., 793 F.2d 1261, 1271 (Fed.Cir.1986) (the term "comprising" means "all of the preceding and more"). The term by its positioning in the claim, however, does not operate to unzip the phrase "nanoparticles and microparticles of a taxane" because the claim does not specify "nanoparticles and microparticles comprising a taxane." See TiVo, Inc. v. EchoStar Commc'ns Corp., 516 F.3d 1290, 1304 (Fed.Cir.2008) ("[A]lthough the open ended term `comprising' is used to refer generally to the limitations of the hardware claims, the `assembles' limitation itself does not contain that term.").
As a fallback, Acusphere points to the structure of the matrix in which the taxane particles are suspended. In addition to the particles, the matrix is composed of hydrophilic excipients and wetting agents, some of which, according to the specification, are not water soluble. The specification also provides that "[u]pon contact with an aqueous medium, water penetrates through the highly porous matrix to dissolve the water soluble excipients in the matrix." `493 patent col. 3 ll. 54-57 (emphasis added). From this, Acusphere argues that "one skilled in the art would know that the microparticles and nanoparticles of a taxane that remain when the matrix dissolves would not only be comprised of the drug, but would include other components, like excipients, associated with them as well." Pl.'s Br. at 17. Acusphere also points out that neither the claims nor the specification require a "purification step or purity measurement after dissolution of the matrix." Pl.'s Reply Br. at 9. Moreover, "the method and equipment used in the file history to measure particle size cannot distinguish between particles of pure taxane and particles associated with other components of the paclitaxel matrix"; thus, Acusphere contends "it is illogical to conclude that the patent would require that the claimed particles be pure taxane." Id.
Celgene responds that it is beside the point that the matrix may be formed of components in addition to the taxane particles, because as Celgene reads the patent,
Celgene also cites the prosecution history in support of its proposed construction. After an initial rejection based on the prior art, Acusphere amended claims 1 and 17 to add, among other elements, the limitation that "wherein upon exposure to an aqueous medium, the matrix dissolves to leave the taxane nanoparticles and microparticles." PTO Con., Feb. 22, 2002 at 2, 4. In the course of amending the claims, Acusphere distinguished the prior art as follows.
Id. at 6.
In describing the claimed composition to the PTO, Acusphere wrote, "[t]he matrix is rapidly dissolved upon contact with an aqueous solution, yielding nanoparticles and microparticles of the taxane, no longer associated with the matrix. The nanoparticles and microparticles of the taxane lead to an increase[d] rate of dissolution of the taxane." Id. at 6 (emphasis added). Celgene argues that the plain meaning of this description is that Acusphere "relinquished any construction that would permit the nanoparticles and microparticles of a taxane to be formed of the other components that form the matrix, i.e., the hydrophilic excipient or the wetting agent, in addition to the taxane drug." Def.'s Br. at 23. "In particular, the applicants made explicit that the claimed nanoparticles and microparticles of a taxane did not encompass controlled release, polymer encapsulated particles containing paclitaxel and albumin, such as was taught in the prior art." Id.
After a second rejection, Acusphere responded that "[t]he combination of Desai and Hanes would not lead one skilled in the art to form a porous matrix which dissolves immediately upon exposure to an aqueous medium to release nanoparticles and microparticles of a taxane that have a high surface area and dissolve rapidly." PTO Con., Aug. 7, 2002, at 5 (emphasis added). According to Celgene, a PHOSITA would understand this statement to mean that taxane is on the surface of the claimed "nanoparticles and microparticles of a taxane," and that the particles' surfaces are free of any additional material or ingredient—such as a polymer of albumin—that would otherwise encapsulate the drug.
Acusphere attempts to distance itself from the prosecution history by arguing
When the plain language of the claim is read in the context of the prosecution history and particularly the effort to escape the teachings of Desai and Hanes, Acusphere's after-the-fact assertion that what was said to dissuade the Examiner from yet another rejection was nothing more than inconsequential rhetoric, is unconvincing at the least.
Celgene would construe the term "hydrophilic excipient" to mean "an inert component of a pharmaceutical product that will dissolve upon contact with an aqueous medium." In support of this construction, Celgene points to the claim language requiring the matrix to dissolve upon exposure to an aqueous medium so as to leave the nanoparticles and microparticles of taxane. Because the matrix is formed, in part, of a hydrophilic excipient, Celgene argues that it follows logically that the hydrophilic excipient, too, dissolves upon exposure to the aqueous medium.
Acusphere responds that it is the system of the matrix that must dissolve, and not the components comprising the matrix. Because the matrix is made up of "at least 1 to 95% of the taxane," and the claims depend on the matrix leaving behind nanoparticles and microparticles of taxane upon dissolution, Acusphere argues that nothing in the claim requires every component of the matrix to dissolve. Acusphere further points out that the specification implies that not every excipient, but only water soluble excipients, will dissolve. See '493 patent col. 3 ll. 54-57 ("Upon contact with an aqueous medium, water penetrates through the highly porous matrix to dissolve the water soluble excipients in the matrix.") (emphasis added).
There is nothing in the intrinsic evidence that alters the ordinary and customary meaning of "hydrophilic."
Based on the prosecution history, Celgene contends that the matrix must be formed of four separate and distinct components: (1) a hydrophilic excipient, (2) a wetting agent, (3) nanoparticles of a taxane, and (4) microparticles of a taxane. Acusphere initially claimed a porous matrix formed of only a wetting agent and microparticles of a taxane, but added a hydrophilic excipient and nanoparticles of a taxane after an obviousness rejection by the Examiner. It wrote that the Hanes prior art disclosed a surfactant and drug, but "there are no nanoparticles, nor is there a matrix formed of a hydrophilic excipient that dissolves upon contact with water. . . ." PTO Corr., Feb. 22, 2002, at 6. Celgene argues that because a surfactant disclosed in the Hanes patent is also a wetting agent, Acusphere's addition of "hydrophilic excipient" to the claims must mean a substance other than the wetting agent.
No amount of argument, however, can overcome the plain language of the claims and the specification. Dependent claims 45-47 explicitly states that "the hydrophilic excipient is the wetting agent."
Celgene first contends that the claim term "mean diameter" is indefinite because nothing in the intrinsic evidence specifies the mean diameter to be calculated or the calculation methodology to be
The Hanes patent also disclosed that "the mass mean diameter of the particles can be measured using a Coulter Multisizer II." Id. at col. 7 l. 55. Acusphere's provisional application (from which the '493 patent derives) states that "[t]otal surface area values can be provided using standard Coulter Counter equipment and techniques." U.S. Provisional Application No. 60/158,659. Acusphere argues persuasively that the prosecution history runs counter to Celgene's claim that the patent does not specify a technique to be used to measure mean diameter. Acusphere also points to the instruction in the '493 patent's specification that the "[t]otal surface area values of the microparticles can be determined using standard particle sizing equipment and techniques." `493 patent col. 3 ll. 21-23. And, finally, Acusphere maintains that a PHOSITA would have no difficulty measuring particle size with a reasonable degree of accuracy using any one of a number of standardized techniques.
Celgene next argues that if the claim is not indefinite, it should be construed to mean that the diameter and surface area measurements refer only to nanoparticles and microparticles of taxane, and further, that the measurements are to be made when the matrix is in a dry powder form. Why Celgene is right in the first instance is discussed in Section B. However, the specification makes clear that the measurements are to be made after the matrix comes into contact with an aqueous medium. There it is said that "[t]he porous matrix with paclitaxel yields upon contact with an aqueous medium microparticles having a mean diameter between about 0.01 and 5 um and a total surface area greater than about 0.5m
Celgene argues that this claim limitation is indefinite on two grounds. First, it asserts that the claim is "nonsensical" because the patent claims as a whole require that the matrix be formed of nanoparticles and microparticles of a taxane, while also requiring that the matrix dissolve to leave the taxane particles. The court does not see the inconsistency. While the claim language and specification repeatedly state that the matrix must dissolve to leave behind taxane particles, nowhere is it said that the dissolving of the matrix is defined "by reference to whether all of the taxane nanoparticles and microparticles dissolve." Def.'s Br. at 38. The specification states that "[u]pon contact with an aqueous medium, water penetrates through the highly porous matrix to dissolve the water soluble excipients in the matrix. A suspension of paclitaxel particles in the aqueous medium remains." '493 patent col. 3 ll. 54-58 (emphasis added). The patent thus contemplates two distinct steps: "(1) dissolution of the porous matrix to leave nanoparticles and microparticles of paclitaxel suspended in the aqueous reconstitution medium; and (2) the subsequent dissolution of the nanoparticles and microparticles of paclitaxel that occurs in a larger volume of aqueous medium or once administered to the patient." Pl.'s Reply Br. at 20. This construction is confirmed by the prosecution history. In distinguishing the '493 patent from Hanes, Acusphere wrote that "[n]one of the art teaches that the available surface area of the taxanes should be increased so that the dissolution rate of the taxane rather than the matrix should be increased." PTO Corr., Aug. 7, 2002, at 5 (emphasis in original); see also id. at 6 ("Applicants' claimed process yields taxane that dissolves at a rate that may be 1000 times shorter than for bulk taxane.") (emphasis added).
Celgene's second argument for indefiniteness is that the claim phrase states only a "functional" limitation and that the patent "fails to provide the qualitative parameters necessary for a PHOSITA to determine whether, for any given composition, the matrix dissolves to leave the taxane nanoparticles and microparticles." Def.'s Reply Br. at 23. "In particular, the claims do not specify the conditions, such as the specific volume or type of aqueous medium, that must be added to satisfy the limitation that the matrix will dissolve but the taxane nanoparticles and microparticles will not. . . ." Def.'s Br. at 39. Acusphere responds that the patent provides that the formulations do not require a particular aqueous medium, but clearly contemplates various embodiments. Pl.'s Reply Br. at 22 (citing the specification statement "an aqueous medium, such as physiological saline" and the T80/PBS solution disclosed in Example 3). Thus, Acusphere contends, "the patent only requires assessing infringement in the given
However, for the reasons discussed in Section B, the court will largely adopt Celgene's proposed interpretation that the hydrophilic excipients and wetting agents may not attach to the taxane drug. The second part of the disputed claim is therefore construed to mean that the porous matrix must dissolve to leave only taxane drug in the form of nanoparticles and microparticles that are no longer associated with either the hydrophilic excipient or the wetting agent.
Celgene also contends that this claim phrase is indefinite because, as discussed above in Section F, "dissolution rate is concentration dependent, and the claims do not specify the particular concentrations at which this claim limitation must be met." Def's Br. at 44. Acusphere responds that Example 3 of the patent clearly defines the method of determining the dissolution rate of the taxane particles relative to unprocessed taxane and notes that in explaining the new claim limitation, it specifically referred the Examiner to Example 3 and the results associated with the testing in Figure 1. PTO Corr., Aug. 7, 2002, at 3, 6. The court will therefore adopt Acusphere's construction of the phrase "wherein the dissolution rate of the taxane nanoparticles and microparticles in an aqueous solution is increased relative to unprocessed taxane" to include "as measured according to Example 3 of the '493 patent."
The disputed claim terms will be construed for all further purposes in this litigation as the court has indicated in the body of this opinion.
SO ORDERED.