Prosecution Insights
Last updated: April 19, 2026
Application No. 18/143,902

VARIANT ADENO-ASSOCIATED VIRUS (AAV) CAPSID POLYPEPTIDES AND GENE THERAPEUTICS THEREOF FOR TREATMENT OF HEARING LOSS

Non-Final OA §112
Filed
May 05, 2023
Examiner
SHIBUYA, MARK LANCE
Art Unit
1631
Tech Center
1600 — Biotechnology & Organic Chemistry
Assignee
Eli Lilly And Company
OA Round
1 (Non-Final)
32%
Grant Probability
At Risk
1-2
OA Rounds
3y 9m
To Grant
57%
With Interview

Examiner Intelligence

Grants only 32% of cases
32%
Career Allow Rate
51 granted / 158 resolved
-27.7% vs TC avg
Strong +25% interview lift
Without
With
+24.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 9m
Avg Prosecution
28 currently pending
Career history
186
Total Applications
across all art units

Statute-Specific Performance

§101
2.9%
-37.1% vs TC avg
§103
38.2%
-1.8% vs TC avg
§102
18.1%
-21.9% vs TC avg
§112
27.0%
-13.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 158 resolved cases

Office Action

§112
Notice of Pre-AIA or AIA Status The present application, 18143902, (PG-Pub US 20240226330), filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . Claims 1, 4, 7, 15, 17-19, 21-23, 25, 26, 28, 30, 32-49 are pending. Election/Restrictions All claims are examined. An election to requirement for election of species was made without traverse in the reply filed on 2/2/2026. Applicant elected without traverse as follows: a variant AAV2 capsid polypeptide from group A; the amino acid sequence of SEQ ID NO: 35 from group B; and the nucleic acid sequence encoding GJB2 of SEQ ID NO: 10 from group D. Applicant argues an election with respect to group C is moot in view of the claim amendments cancelling this species group. Priority The filing receipt, mailed , states that this application was filed , and claims domestic priority benefit as a CON of PCT/US2021/058255, filed 11/05/2021 which claims benefit of 63/146,269, filed 02/05/2021 and claims benefit of 63/110,697, filed 11/06/2020. Information Disclosure Statement The information disclosure statements (IDS) submitted on 1/16/2024 and 10/24/2025 are in compliance with the provisions of 37 CFR 1.97, except that the digital file wrapper appears to missing a copy of the publication of SMITH et al., GeneReviews, 31 pages, July 20, 2023, IDS filed 1/16/2024, non-patent literature citation number 1. Accordingly, the information disclosure statements are being considered by the examiner, however the IDS, filed 1/16/2024, non-patent literature citation number 1 to the publication of SMITH et al., GeneReviews, 31 pages, July 20, 2023, has been lined out and that particular citation has not been considered by the examiner. Claim Objections Claim 4, line 5, is objected to because of the following informalities: Claim 4 states the term “SEO” but should instead use the term –SEQ--. Appropriate correction is required. Claim Rejections - 35 USC § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claims 23 and 44 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Dependent Claims 23 and 44, recite the limitation "the tag" in lines 1. There is insufficient antecedent basis for this limitation in the claim because claims 22 and 43, from which claims 23 and 44 depend, respectively, recite both “C-terminal tag” and “N-terminal tag”, and so it is unclear if “the tag” refers to the C-terminal tag or N-terminal tag or both. Allowable Subject Matter 1. Claims 1, 4, 7, 15, 17-19, 21-23, 25, 26, 28, 30, 32-49 are free of the prior art. The closest prior art of record is Maguire, US 20210079406, which teaches recombinant AAV comprising capsid variant protein, encoding a GJB2 transgene for treating a cause of hearing loss, but does not teach a variant AAV capsid polypeptide comprising an amino acid sequence SEQ ID NOs; 27, 31, or 35, or an amino acid sequence having at least 99% sequence identity thereto, as in independent claims 1 and 4. 2. The allowed claims are 1, 4, 7, 15, 17-19, 21, 23, 25, 26, 28, 30, 32-43, 45-49. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to Mark L Shibuya whose telephone number is (571)272-0806. The examiner can normally be reached M-F, 9AM-4:30PM. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, James (Doug) Schultz, can be reached at (571) 272-0763. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. MARK L. SHIBUYA Primary Patent Examiner Art Unit 1631 /MARK L SHIBUYA/Primary Patent Examiner, Art Unit 1631
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Prosecution Timeline

May 05, 2023
Application Filed
Mar 14, 2026
Non-Final Rejection — §112 (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

1-2
Expected OA Rounds
32%
Grant Probability
57%
With Interview (+24.9%)
3y 9m
Median Time to Grant
Low
PTA Risk
Based on 158 resolved cases by this examiner. Grant probability derived from career allow rate.

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