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 .
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
Foreign Priority – Apparent Error Regarding Certified Copies
Acknowledgment is made of applicant's claim for foreign priority based on three separate applications filed in China on 8 April 2021, 9 July 2021, and 23 July 2021.
According to MPEP 215(I), 35 U.S.C. 119(b)(3) authorizes the Office to require the applicant to furnish a certified copy of the foreign priority application, and the Office requires such a copy pursuant to 37 CFR 1.55.
A document marked as a Certified Copy of Foreign Priority was added to the file record of the instant application on 09/28/2023. However, upon reviewing the document, the examiner notes the following:
First, the added document appears to have pages that are not in the correct order. For example, the first page of the added document is page 43, the second page is page 42 etc.
Secondly, as best understood by the examiner, only one foreign priority document is present in the file record; in contrast, the instant application claims priority to three separate foreign priority documents.
As such, the examiner takes the position that applicant has failed to provide the required certified copies of the foreign priority documents.
As such, in view of the apparent errors in the provided certified copy, it is the examiner’s position that applicant has failed to meet the burden of providing a certified copy as set forth in MPEP 215(I).
Election/Restrictions
Applicant’s election without traverse of the species with the following structure
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in the reply filed on 24 March 2026 is acknowledged.
Claims 10-11 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected species, there being no allowable generic or linking claim. Election was made without traverse in the reply filed on 24 March 2026. The reason that claims 10-11 are withdrawn is because the branched R1 and R2 groups are not within the scope of the expanded species election.
Claim Rejections - 35 USC § 112(b) – Indefiniteness
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 1-9, 13, and 25-37 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.
Claim 1 recites the following, as of the last four lines of the claim.
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The instant claims are indefinite because Ra and Rb do not appear to be defined by the claims.
For the purposes of examination under prior art, the examiner will proceed with the understanding that Ra and Rb can be hydrogen.
This rejection does not apply to claims 17-18 as these claims appear to clearly recite a (CH2CH2O)n1 group, resulting in the functional group “A” being clearly defined.
Claim Interpretation
The examiner notes that claim 1 recites a lipid. The examiner takes the position that prior art teaching a chemical compound that is within the claim scope but refers to the compound as something other than a lipid is understood to meet the requirements of claim 1. For example, a prior art reference that teaches a chemical structure within the claim scope but refers to the structure as a surfactant or emulsifier is understood to meet the claimed requirements.
Claims 5-7 recite that the PEG molecular weight is determined by MALDI-TOF. The skilled artisan would have understood “MALDI-TOF” to refer to matrix assisted laser desorption ionization – time of flight, which refers to a type of mass spectrometry. The skilled artisan would have expected the molecular weight of polyethylene glycol to have been a specific value regardless of the method by which it is measured. As such, the examiner understands claims 5-7 to require a particular polyethylene glycol molecular weight. These claims are not understood to require that the prior art teach the use of MALDI-TOF to characterize their molecular weight. In contrast, the claims are required to teach a polyethylene glycol that would have a molecular weight in the claimed range were MALDI-TOF to have been used to have characterized its molecular weight.
Claim Rejections - 35 USC § 103 – Obviousness
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claim(s) 1-9, 13, and 17-18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Cartwright (GB 2230022 A) in view of Guo et al. (Journal of Colloid and Interface Science, Vol. 298, 2006, pages 441-450).
Cartwright is drawn to a detergent comprising a surfactant, as of Cartwright, title and abstract. Cartwright teaches the following as of page 9, relevant text reproduced below.
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The examiner best understands that in this teaching that the indicated nitrogen is covalently bound to the C18H37 group, the COC17H35 group, and the (CH2CH2O)10H group. As such, the compound of Cartwright is understood on the claimed invention in the following manner, as of the table on the next page.
Claimed Variable
Teaching in Cartwright
R
Hydrogen
(A)n1
(CH2CH2O)10
L3
Linking Bond
B3 and B4
Both linking bonds
L7
Carbonyl (i.e. (-C=O))
L8
Linking bond
R1
-C17H35
R2
-C18H37
Cartwright is not anticipatory because Cartwright teaches only 10 repeat units of CH2CH2O. In contrast, the instant claims require a minimum of 20 repeat units of this as the minimum value of n1 is 20.
Guo et al. (hereafter referred to as Guo) is drawn to a study of polyethoxylated surfactants, as of Guo, page 441, title and abstract. Guo teaches ethoxylated surfactants with as little as 3 ethoxylated units, as of Guo, page 446, Table 3, and as many as 150 ethoxylated units, as of Guo, pages 447-448. Guo teaches different properties associated with these different surfactants.
Guo differs from the claimed invention because the compounds of Guo do not have a nitrogen in the required position.
It would have been prima facie obvious for one of ordinary skill in the art to have optimized the chain length of the ethylene oxide chain in the compound of Cartwright to have been in the range taught by Guo. Cartwright teaches a surfactant with an ethoxyl chain of 10 ethylene oxide units. Guo teaches that ethoxylated surfactants can be in the range of about 3 to about 150 repeat units, and that surfactants with different chain lengths have different properties. As such, the skilled artisan would have been motivated to have optimized the chain lengths of the ethylene oxide repeat units of the surfactant of Cartwright in order to have predictably modified the properties of the surfactant with a reasonable expectation of success. Optimization of a result-effective variable is prima facie obvious, and the teachings of Guo indicate that the number of ethylene oxide repeat units is a result-effective variable. See MPEP 2144.05(II)(B).
As to claim 1, the claim requires 20 to 250 repeat units of the ethylene oxide group (i.e. “n1” variable). Guo teaches from 3 to 150 units of the ethylene oxide group. This overlaps with the claimed requirements. While the prior art does not disclose the exact claimed values, but does overlap: in such instances even a slight overlap in range establishes a prima facie case of obviousness. See MPEP 2144.05(I).
As to claim 2, the structure of Cartwright is such that both B3 and B4 are linking bonds.
As to claim 3, in the structure of Cartwright, L7 is –(C=O)- and L8 is a linking bond.
As to claim 4, the linking bond that is L3 in the structure of Cartwright would have been degradable under heat and/or acidic or basic conditions. This is because this bond is an amide bond, and amides can hydrolyze under aqueous acid or aqueous base. Additionally, the skilled artisan would have expected that the bond that is L3 would have degraded under high temperature (e.g. 500-1000 °C).
As to claim 5, Guo teaches PEG 1500 monostearate, PEG 4000 monooleate, and PEG 6000 monolaurate or monooleate, as of Guo, page 447. In this context, 1500, 4000, and 6000, as the numbers are not in parentheses, are understood to refer to the molecular weight of the PEG moiety. These values are within the claimed range.
As to claim 6, Guo teaches examples wherein the number of PEG repeat units is (24), (40), (50), (75), and (100), as of Guo, page 447. These are within the claimed range.
As to claim 7, Guo teaches examples wherein the number of PEG repeat units is (24), (40), (50), (75), and (100), as of Guo, page 447. The value of 40 is within the claimed range.
As to claims 8-9, Cartwright teaches a heptadecyl group and an octadecyl group as R1 and R2.
As to claim 13, in the compound of both Cartwright and Guo, R is hydrogen (H).
As to claim 17, the structure of Cartwright appears to read on recited structure 1-40 of claim 17.
As to claim 18, the claim recites the following structure.
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The combination of Cartwright, as modified by Guo appears to differ from the structure recited by claim 18 only in that the carbon chains are longer in the structure of Cartwright as modified by Guo as compared with the claimed invention. With respect to the non-PEG groups attached to the nitrogen atom, Cartwright teaches a saturated C18H37 group (without the carbonyl) and a C17H30CO group. In contrast, the above-reproduced chemical structure recites a C14H29 group and a C13H27CO group. These functional groups differ only in view of the length of the carbon chains. Compounds which are … homologs (compounds differing regularly by the successive addition of the same chemical group, e.g., by -CH2- groups) are generally of sufficiently close structural similarity that there is a presumed expectation that such compounds possess similar properties. See MPEP 2144.09(II). In this case, the compound suggested by the prior art and the compound recited by the claims appear to be homologs, as defined by the above-indicated MPEP section. The examiner further notes that there do not appear to be unexpected results showing superior results of the claimed compound as compared with the compound of Cartwright. The examiner takes the position that the presence of homology and the apparent lack of unexpected results of the claimed invention over the prior art compound is sufficient to result in a prima facie case of obviousness.
This rejection does not apply to claim 25 and claims dependent thereon. This is because the composition of Cartwright is drawn to a detergent. In contrast, claim 25 is drawn to a cationic liposome. Cationic liposomes are generally used in drug delivery of an anionic drug such as a nucleic acid, and are not used in detergent compositions. As such, the skilled artisan would not have been motivated to have modified the composition of Cartwright to have been in the form of a cationic liposome. Additionally, detergents, such as described by Cartwright, comprise surfactants which form micelles, which are supramolecular structures having a lipophilic core. In contrast liposomes are supramolecular structures having an aqueous core. As such, the structure of a liposome differs from the structure of a supramolecular assembly that would have been formed by surfactants.
Claim(s) 1-9, and 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Uemura (KR 101476656 B1).
As an initial matter, Uemura is written in Korean. The examiner has provided an English translation as of Google Patents (https://patents.google.com/patent/KR101476656B1/en?oq=CN+101275065 accessed 15 April 2025). Page and paragraph citations are to the English translation; however, the material cited therein is understood by the examiner to have been present in the original Korean document.
Uemura is drawn to a polishing liquid, as of Uemura, page 1, title and abstract. Uemura teaches the following compounds as of page 6 of the translation, reproduced in part below.
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In the case of compounds D10, D11, and D12 of Uemura, these compounds read on the claimed invention in the following manner, as of the table set forth below.
Claimed Variable
Teaching in Uemura examples D10, D11, and D12
R
Hydrogen
(A)n1
(CH2CH2O)a
L3
Linking Bond
B3 and B4
Both linking bonds
L7
Carbonyl (i.e. (-C=O))
L8
Carbonyl (i.e. (-C=O))
R1 and R2
-C12H25 (D10) -C16H33 (D11) -C18H37 (D12)
As to claim 1, as best understood by the examiner, Uemura is not anticipatory because it is not clear that “a” in the examples of Uemura (i.e. the number of ethylene glycol repeat units) is between 20 and 250, as required by the instant claims. Nevertheless, Uemura teaches that the polyethylene glycol chain preferably has a molecular weight of 200 to 5000, as of Uemura, page 5. Given a molecular weight of 44 Daltons per repeat unit, a chain length of 200 is about 4-5 repeat units, whereas a molecular weight of 5000 is about 113-114 repeat units. This does not read on, but overlaps with the claim requirement that n1 be from 20 to 250. While the prior art does not disclose the exact claimed values, but does overlap: in such instances even a slight overlap in range establishes a prima facie case of obviousness. See MPEP 2144.05(I).
As to claim 2, in the structure of Uemura, both B3 and B4 are linking bonds.
As to claim 3, in the structure of Uemura, both L7 and L8 are carbonyl groups.
As to claim 4, the linking bond that is L3 in the structure of Uemura would have been degradable under heat and/or acidic or basic conditions. This is because this bond is an amide bond, and amides can hydrolyze under aqueous acid or aqueous base. Additionally, the skilled artisan would have expected that the bond that is L3 would have degraded under high temperature (e.g. 500-1000 °C).
As to claim 5, Uemura teaches that the polyethylene glycol chain preferably has a molecular weight of 200 to 5000, as of Uemura, page 5. This overlaps with the claimed requirements.
As to claim 6, Uemura teaches that the polyethylene glycol chain preferably has a molecular weight of 200 to 5000, as of Uemura, page 5. Given a molecular weight of 44 Daltons per repeat unit, a chain length of 200 is about 4-5 repeat units, whereas a molecular weight of 5000 is about 113-114 repeat units. These values overlap with the claimed requirements.
As to claim 7, this claim is rejected for essentially the same reason that claim 6 is rejected.
As to claim 8, Uemura teaches C12, C16, and C18 alkyl groups for R1 and R2.
As to claim 9, Uemura teaches C12, C16, and C18 alkyl groups for R1 and R2. This would appear to read on the required dodecyl group, hexadecyl group, or octadecyl group.
As to claim 13, in the structure of Uemura, R is hydrogen.
This rejection does not apply to claim 25 and claims dependent thereon. This is because the composition of Uemura is drawn to chemical mechanical polishing. In contrast, claim 25 is drawn to a cationic liposome. Cationic liposomes are generally used in drug delivery of an anionic drug such as a nucleic acid, and are not used in chemical mechanical polishing. As such, the skilled artisan would not have been motivated to have modified the composition of Uemura to have been in the form of a cationic liposome.
Non-Statutory Double Patenting
The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b).
The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13.
The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The actual filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/apply/applying-online/eterminal-disclaimer.
Claims 1-9, 13, 17-18, and 25-37 are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1-17 and 24-38 of copending Application No. 18/284,762 (reference application). Although the claims at issue are not identical, they are not patentably distinct from each other because of the following reasons:
The instant claims are drawn to a PEGylated lipid having the following structure.
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The instant claims also recite a cationic liposome comprising this structure, as of instant claim 25 and claims dependent thereon.
The copending claims are drawn to a PEGylated lipid having the following structure.
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The copending claims recite a cationic liposome, as of copending claim 24 and claims dependent thereon.
The instant and copending claims differ because the instant claims recite that L7 and L8 are a wide variety of functional groups, in contrast, the copending claims limit L7 and L8 to only a linking bond or ester groups. Nevertheless, the subject matter of the copending claims appears to be within the scope of the instant claims and effectively anticipates the subject matter of the instant claims. This results in a prima facie case of anticipatory-type provisional non-statutory double patenting.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Claims 1-9, 13, 17-18, and 25-37 are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1-2, 4, and 11-24 of copending Application No. 18/700,022 (reference application). Although the claims at issue are not identical, they are not patentably distinct from each other because of the following reasons:
The instant claims are drawn to a PEGylated lipid having the following structure.
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The instant claims also recite a cationic liposome comprising this structure, as of instant claim 25 and claims dependent thereon.
The copending claims recite a lipid with the following structure.
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The copending claims recite a cationic liposome, as of copending claim 12.
The instant and copending claims differ because instant claim limits L1 to a specific ester group, and L2 to a range of ester and carbonate groups. In contrast, the instant claims recite a broader set of limitations for L7 and L8, which appear to be the same as L1 and L2 in the copending claims. Nevertheless, the subject matter of the copending claims appears to be within the scope of the instant claims and effectively anticipates the subject matter of the instant claims. This results in a prima facie case of anticipatory-type provisional non-statutory double patenting.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Claims 1-9, 13, 17-18, and 25-37 are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 31-36 and 38-68 of copending Application No. 18/269,728 (reference application – currently allowed but not yet issued). Although the claims at issue are not identical, they are not patentably distinct from each other because of the following reasons:
The instant claims are drawn to a PEGylated lipid having the following structure.
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The instant claims also recite a cationic liposome comprising this structure, as of instant claim 25 and claims dependent thereon.
The copending claims recite a lipid with the following structure.
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The copending claims also recite a cationic liposome, as of at least copending claims 45-46 and claims dependent thereon.
The instant and copending claims differ because the copending claims recite various specific functional groups for R3 (which is the end-group attached to (A)n) whereas the instant claims a more generic list of functional groups for R (which is also the end-group attached to (A)n and is equivalent to R3) in the copending claims. Nevertheless, the subject matter of the copending claims appears to be within the scope of the instant claims and effectively anticipates the subject matter of the instant claims. This results in a prima facie case of anticipatory-type provisional non-statutory double patenting.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Claims 1-9, 13, 17-18, and 25-37 are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 27-50 of copending Application No. 18/839,059 (reference application – currently allowed but not yet issued). Although the claims at issue are not identical, they are not patentably distinct from each other because of the following reasons:
The instant claims are drawn to a PEGylated lipid having the following structure.
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The instant claims also recite a cationic liposome comprising this structure, as of instant claim 25 and claims dependent thereon.
The copending claims recite a lipid with the following structure.
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The copending claims also recite a lipid composition further comprising a phospholipid, steroid, and/or cationic lipid, as of copending claim 42; this would have formed a liposome had all three of these been present.
The instant and copending claims differ because the copending claims limit B1, B2, L1, and L2 to alkylene groups; in contrast, the instant claims recite a wider variety of functional groups at the equivalent positions of L7, L8, B3, and B4. Nevertheless, the subject matter of the copending claims appears to be within the scope of the instant claims and effectively anticipates the subject matter of the instant claims. This results in a prima facie case of anticipatory-type provisional non-statutory double patenting.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Conclusion
No claim is allowed.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to ISAAC SHOMER whose telephone number is (571)270-7671. The examiner can normally be reached 7:30 AM to 5:00 PM Monday Through Friday.
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ISAAC . SHOMER
Primary Examiner
Art Unit 1612
/ISAAC SHOMER/ Primary Examiner, Art Unit 1612
Prosecution Insights