Prosecution Insights
Last updated: October 04, 2026
Application No. 17/915,548

AAV CAPSIDS VARIANTS AND USES THEREOF

Non-Final OA §102§103
Filed
Sep 29, 2022
Priority
Mar 31, 2020 — provisional 63/003,143 +1 more
Examiner
WILSON, MICHAEL C
Art Unit
1638
Tech Center
1600 — Biotechnology & Organic Chemistry
Assignee
Sichuan University
OA Round
3 (Non-Final)
42%
Grant Probability
Moderate
3-4
OA Rounds
0m
Est. Remaining
59%
With Interview

Examiner Intelligence

Grants 42% of resolved cases
42%
Career Allowance Rate
390 granted / 939 resolved
-18.5% vs TC avg
Strong +18% interview lift
Without
With
+17.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 8m
Avg Prosecution
64 currently pending
Career history
1010
Total Applications
across all art units

Statute-Specific Performance

§101
4.4%
-35.6% vs TC avg
§103
29.6%
-10.4% vs TC avg
§102
15.7%
-24.3% vs TC avg
§112
39.2%
-0.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 939 resolved cases

Office Action

§102 §103
DETAILED ACTION Notice of Pre-AIA or AIA Status The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . Continued Examination Under 37 CFR 1.114 A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 7-20-26 has been entered. Claims 2, 3, 11-20 have been canceled. Claims 1, 4-10 remain pending. Applicant's arguments filed 7-20-26 have been fully considered but they are not persuasive. The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action. Claim Rejections - 35 USC § 102 The rejection of claims 1, 3-10 under 35 U.S.C. 102a1 as being anticipated by Gao (WO 2018071831) was withdrawn because Gao did not teach intrahippocampal injection of AAV as required in claim 1 (previously in claim 2). Claim Rejections - 35 USC § 103 A) Claims 1, 4-10 remain rejected under 35 U.S.C. 103 as being unpatentable over Gao (WO 2018071831) in view of Tenenbaum (J. Gene Med., 2004, Vol. 6, pg S212-S222). Gao taught administering an AAV comprising a capsid with the amino acid sequence of SEQ ID NO: 1 (SEQ ID NO: 941) into a subject intracerebrally (pg 4, line 1) or intracerebroventricularly (pg 65, line 26) (pg 65, Example 4). The vector encodes any of a number of proteins (pg 65, lines 21-27) or iRNA (pg 29, line 2). The target cells are cells of the CNS (pg 51, lines 13-26) as required in claim 1. Gao did not teach intrahippocampal injection of AAV as required in claim 2. However, it was well known to administer AAV to the hippocampus as described by Tenenbaum (abstract, Materials and Methods). Therefore, it was well within the skill and knowledge of those in the art to administer AAV specifically to the hippocampus. Furthermore, Gao taught “Recombinant AA Vs may be delivered directly to the CNS or brain by injection into, e.g., the ventricular region, as well as to the striatum (e.g., the caudate nucleus or putamen of the striatum), spinal cord and neuromuscular junction, or cerebellar lobule, with a needle, catheter or related device, using neurosurgical techniques known in the art, such as by stereotactic injection (see, e.g., Stein et al., J Viral 73:3424-3429, 1999; Davidson et al., PNAS 97:3428-3432, 2000; Davidson et al., Nat. Genet. 3:219-223, 1993; and Alisky and Davidson, Hum. Gene Ther. 11:2315-2329, 2000)”. Therefore, modifying the teachings of Gao to the hippocampus is an obvious variant and a matter of design choice to ensure cells of the hippocampus receive treatment. Thus, it would have been obvious to those of ordinary skill in the art at the time of filing to administer AAV to the brain as taught by Gao including the hippocampus as described by Tenenbaum. Those of ordinary skill in the art at the time of filing would have been motivated to modify the teachings of Gao specifically to the hippocampus because it is an obvious variant and a matter of design choice to ensure cells of the hippocampus receive treatment. The target cells are neurons, astrocytes, or glial cells (pg 51, lines 13-26) as required in claim 4. The subject is a human (pg 51, line 10) as required in claim 5. The subject MUST inherently make antibodies against AAV2 when AAV2 is used (pg 60, lines 9-18). Variants of AAV are screened for antibody cross-reactivity (pg 64, lines 23-25). This is equivalent to “characterized by production of anti-AAV2 antibodies” as required in claim 6. The subject MUST inherently lack “a neutralizing immune response against the rAAV” as required in claim 7 because the capsid variant described by Gao is exactly the same as the one in claim 1. The nucleic acid has ITRs flanking the transgene (pg 17, line 28; pg 29, line 20 & 28; pg 30, lines 1-5) as required in claim 8. The nucleic acid has a promoter (pg 31, line 4; pg 63, line 4; pg 64, Table 7, “Promoter”) as required in claim 9. The vector encodes any of a number of proteins (pg 65, lines 21-27) or iRNA (pg 29, line 2) as required in claim 10. Response to arguments Applicants argue those of skill had no reason to change the route of delivery (pg 5, 1st para). Applicants’ argument is not persuasive. Gao taught “Recombinant AA Vs may be delivered directly to the CNS or brain by injection into, e.g., the ventricular region, as well as to the striatum (e.g., the caudate nucleus or putamen of the striatum), spinal cord and neuromuscular junction, or cerebellar lobule, with a needle, catheter or related device, using neurosurgical techniques known in the art, such as by stereotactic injection (see, e.g., Stein et al., J Viral 73:3424-3429, 1999; Davidson et al., PNAS 97:3428-3432, 2000; Davidson et al., Nat. Genet. 3:219-223, 1993; and Alisky and Davidson, Hum. Gene Ther. 11:2315-2329, 2000)”. Therefore, modifying the teachings of Gao to the hippocampus is an obvious variant and a matter of design choice to ensure cells of the hippocampus receive treatment. Applicants argue those of skill knew AAV2 capsid (i.e. SEQ ID NO:1) “did not transduce brain tissue very efficiently” (pg 5, 1st para). Applicants’ argument is not persuasive. It was known to transduce brain tissue. Period. The amount of efficiency is irrelevant. The claim does not require obtaining a certain level of transduction efficiency, so any amount will do. Applicants argue the rejection fails to teach why those of skill would have chosen SEQ ID NO: 941 described by Gao to perform the method (pg 5, 2nd para). Applicants’ argument is not persuasive and astounding. This is not an obviousness rejection based on choosing SEQ ID NO: 941 as alternative to the teachings of Gao; it is the basis of Gao because Gao said SEQ ID NO: 941 would work. There is no reason to pick and choose because all embodiment of Gao are enabled, including SEQ ID NO: 941. Applicants argue “design choice” is misplaced in the rejection (pg 6). Applicants’ argument is not persuasive. Modifying the teachings of Gao to the hippocampus is an obvious variant and a matter of design choice to ensure cells of the hippocampus receive treatment. Those of ordinary skill in the art at the time of filing would have been motivated to change the route of delivery to target the hippocampus. Applicants argue those of skill would not have known whether changing the teachings of Gao to the hippocampus would have predictably worked in delivery to a CNS cell (pg 6-7). Applicants’ argument is legally, logically, and scientifically unsound because delivery to the cerebrum (Gao) or hippocampus (Tenenbaum) IS to the central nervous system, i.e. hippocampal cells ARE CNS cells. BOTH routes of delivery described by Gao and Tenenbaum result in direct delivery to cells of the CNS. Applicants argue “unexpected results” on pg 7 because AAVv66 capsid mutant comprising SEQ ID NO: 1 had enhanced AAV production yields, virus stability, and CNS transduction after injection into the hippocampus (pg 6-7). Applicants’ argument is not persuasive because it is legally, logically, and scientifically unsound. The “unexpected results” argument does not begin with what was expected, i.e. Gao taught delivering an AAV comprising SEQ ID NO: 1 to the cerebrum. It does not take secondary considerations into account. Applicants’ argument does not compare what was expected, i.e. delivering an AAV comprising SEQ ID NO: 1 to the cerebrum described by Gao, to applicants results with the AAV is delivered to the hippocampus. B) Claims 1, 4-10 remain rejected under 35 U.S.C. 103 as being unpatentable over Kanaan (Mol. Therapy-Nucleic Acids, 2017, Vol. 8, pg 184-197) in view of Gao (WO 2018071831). Kanaan administered AAV encoding GDNF (pg 193, col. 2, “Viral genome and vector packaging”) to a subject into the hippocampus (pg 185, col. 2, line 10). The target cells are cells of the CNS (pg 187, Col. 1, last 7 lines). Kanaan did not teach the AAV comprised a capsid with the amino acid sequence of SEQ ID NO: 1 as required in claim 1. However, Gao taught administering an AAV comprising a capsid with the amino acid sequence of SEQ ID NO: 1 (SEQ ID NO: 941) into a subject intracerebrally (pg 4, line 1) or intracerebroventricularly (pg 65, line 26, Example 4). The vector encodes any of a number of proteins (pg 65, lines 21-27) or iRNA (pg 29, line 2). Thus, it would have been obvious to those of ordinary skill in the art at the time of filing to administering AAV to a subject as described by Kanaan using an AAV with a capsid that has the amino acid sequence of SEQ ID NO: 1. Those of ordinary skill in the art at the time of filing would have been motivated to do so to improve targeting to neurons as described by Gao. Kanaan taught the target cells are cells of the CNS (pg 187, col. 1, last 7 lines) as required in claim 3. The target cells are neurons (pg 187, Fig. 2 caption) as required in claim 4. The subject is a human (pg 51, line 10 of Gao) as required in claim 5. The subject MUST inherently make antibodies against AAV2 when AAV2 is used (pg 187, Efficacy of transduction). This is equivalent to “characterized by production of anti-AAV2 antibodies” as required in claim 6. The subject MUST inherently lack “a neutralizing immune response against the rAAV” as required in claim 7 because the method and capsid variant described by the combined teachings of Kanaan and Gao is exactly the same as the one in claim 1. The nucleic acid has ITRs flanking the transgene (pg 17, line 28; pg 29, line 20 & 28; pg 30, lines 1-5, of Gao) as required in claim 8. The nucleic acid has a promoter (pg 193, col. 2, 4th paragraph) as required in claim 9. Kanaan taught the vector encoded GDNF and Gao taught the vector encodes any of a number of proteins (pg 65, lines 21-27) or iRNA (pg 29, line 2) as required in claim 10. Response to arguments Applicants argue those of skill would not have any reason to modify the teachings of Kanaan. Applicants’ argument is not persuasive for reasons of record. Applicants argue there is no reason to select the capsid of SEQ ID NO: 1. Applicants’ argument is not persuasive because Gao taught administering an AAV comprising a capsid with the amino acid sequence of SEQ ID NO: 1 (SEQ ID NO: 941) into a subject for targeting neurons intracerebrally (pg 4, line 1) or intracerebroventricularly (pg 65, line 26, Example 4). Applicants argue “unexpected results” on pg 9-10 because AAVv66 capsid mutant comprising SEQ ID NO: 1 had enhanced AAV production yields, virus stability, and CNS transduction after injection into the hippocampus as compared to AAV2. Applicants’ argument is not persuasive because it is legally, logically, and scientifically unsound. The “unexpected results” argument does not begin with what was expected, i.e. Kanaan taught delivering an AAV2 into the hippocampus. It does not take secondary considerations into account. There is nothing in the specification comparing what was expected, i.e. delivering an AAV2 into the hippocampus described by Kanaan, to applicants results with the AAV comprising SEQ ID NO: 1 is delivered to the hippocampus. Conclusion No claim is allowed. Inquiry concerning this communication or earlier communications from the examiner should be directed to Michael C. Wilson who can normally be reached at the office on Monday through Friday from 9:30 am to 6:00 pm at 571-272-0738. Patent applicants with problems or questions regarding electronic images that can be viewed in the Patent Application Information Retrieval system (PAIR) can now contact the USPTO’s Patent Electronic Business Center (Patent EBC) for assistance. Representatives are available to answer your questions daily from 6 am to midnight (EST). The toll free number is (866) 217-9197. When calling please have your application serial or patent number, the type of document you are having an image problem with, the number of pages and the specific nature of the problem. The Patent Electronic Business Center will notify applicants of the resolution of the problem within 5-7 business days. Applicants can also check PAIR to confirm that the problem has been corrected. The USPTO’s Patent Electronic Business Center is a complete service center supporting all patent business on the Internet. The USPTO’s PAIR system provides Internet-based access to patent application status and history information. It also enables applicants to view the scanned images of their own application file folder(s) as well as general patent information available to the public. For all other customer support, please call the USPTO Call Center (UCC) at 800-786-9199. If attempts to reach the examiner are unsuccessful, the examiner's supervisor, Tracy Vivlemore, can be reached on 571-272-2914. The official fax number for this Group is (571) 273-8300. Michael C. Wilson /MICHAEL C WILSON/ Primary Examiner, Art Unit 1638
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Prosecution Timeline

Sep 29, 2022
Application Filed
Sep 21, 2023
Response after Non-Final Action
Jul 29, 2025
Non-Final Rejection mailed — §102, §103
Nov 24, 2025
Response Filed
Feb 20, 2026
Final Rejection mailed — §102, §103
Jul 20, 2026
Request for Continued Examination
Jul 21, 2026
Response after Non-Final Action
Aug 26, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

3-4
Expected OA Rounds
42%
Grant Probability
59%
With Interview (+17.9%)
3y 8m (~0m remaining)
Median Time to Grant
High
PTA Risk
Based on 939 resolved cases by this examiner. Grant probability derived from career allowance rate.

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