Prosecution Insights
Last updated: April 19, 2026
Application No. 18/551,739

"Cyclopenta[c]pyrrol Negative Allosteric Modulators of NR2B"

Non-Final OA §112
Filed
Sep 21, 2023
Examiner
SHIM, DAVID M.
Art Unit
1626
Tech Center
1600 — Biotechnology & Organic Chemistry
Assignee
Novartis AG
OA Round
1 (Non-Final)
60%
Grant Probability
Moderate
1-2
OA Rounds
2y 7m
To Grant
99%
With Interview

Examiner Intelligence

Grants 60% of resolved cases
60%
Career Allow Rate
50 granted / 83 resolved
At TC average
Strong +57% interview lift
Without
With
+57.4%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
28 currently pending
Career history
111
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
37.9%
-2.1% vs TC avg
§102
13.3%
-26.7% vs TC avg
§112
33.7%
-6.3% vs TC avg
Black line = Tech Center average estimate • Based on career data from 83 resolved cases

Office Action

§112
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 . DETAILED ACTION Claims 1-5, 11, 12, 18, 19, 21-26, 28-32, 38-43, 46 and 49-51 are pending in the application. Claims 1-3, 38, 41, 43, 46, 50 and 51 are rejected. Claims 4, 5, 11, 12, 18, 19, 21-26, 28-32, 39, 40, 42 and 49-51 are objected to. Priority This application is a 35 U.S.C. § 371 National Stage Filing of International Application No. PCT/US2022/021624, filed on March 24, 2022, which claims benefit of Provisional Application No. 63/166,516, filed on March 26, 2021. Information Disclosure Statement The Information Disclosure Statement(s) (IDS) filed on September 21, 2023 and August 1, 2024 are in compliance with the provisions of 37 CFR 1.97 and 1.98. Accordingly, the Examiner has considered the IDS documents and signed copies of the 1449 forms are attached. Claim Objections Claims 49-51 are objected to because of the following informalities: Claim 49 should be amended to include the word -or- where indicated below for proper Markush language: PNG media_image1.png 246 732 media_image1.png Greyscale . Claim 49 should be amended to recite “...a mixture of two or more compounds selected from the consisting of ;and...” for sake of clarity. Claim 50 should be amended to replace “a compound” with -the compound- for sake of clarity and consistency. Claim 51 should be amended to replace “a compound according to claim 1” with -the compound according to claim 1- for sake of clarity and consistency. Appropriate correction is required. Claim Rejections - 35 USC § 112(b) 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 1-3, 38, 41, 43, 46, 50 and 51 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. Claims 1-3 recite “R3 is...O” and is rejected as indefinite. It is unclear whether Applicant intended the “O” to be, for example, an oxygen anion or an oxo (i.e., =O) group. Based on the intermediate structure provided on page 99 of the instant specification, it appears Applicant’s original intent was to recite: “R3 is H, =O, or OH” (i.e., “O” is an oxo). It is, therefore, suggested Applicant make the appropriate corrections as long as the newly amended claims are supported by the original disclosure. Dependent claims 38, 41, 43, 46, 50 and 51 do not correct the issue of indefiniteness with respect to parent claim 1 and are likewise rejected. Claim Rejections - 35 USC § 112(d) The following is a quotation of 35 U.S.C. § 112(d): (d) REFERENCE IN DEPENDENT FORMS — Subject to subsection (e), a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers. The following is a quotation of pre-AIA 35 U.S.C. § 112, fourth paragraph: Subject to the following paragraph [i.e., the fifth paragraph of pre-AIA 35 U.S.C. 112], a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers. Claim 2 is rejected under 35 U.S.C. § 112(d) or pre-AIA 35 U.S.C. § 112, 4th paragraph, as being of improper dependent form for failing to further limit the subject matter of the claim upon which it depends, or for failing to include all the limitations of the claim upon which it depends. Claim 2 recites the limitation “wherein R1 is a C3-8 cycloalkyl.” Parent claim 1 recites alternatives for variable R1- one of which is “C3-6 cycloalkyl.” Parent claim 1, however, does not provide for “C3-8 cycloalkyl” as recited in dependent claim 2. Therefore, claim 2 fails to include all the limitations of the claim upon which it depends. It is suggested Applicant amend claim 2 to replace “wherein R1 is a C3-8 cycloalkyl” with -wherein R1 is a C3-6 cycloalkyl-. Applicant may cancel the claim(s), amend the claim(s) to place the claim(s) in proper dependent form, rewrite the claim(s) in independent form, or present a sufficient showing that the dependent claim(s) complies with the statutory requirements. Allowable Subject Matter Claim 4, 5, 11, 12, 18, 19, 21-26, 28-32, 39, 40 and 42 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Conclusion Claims 1-5, 11, 12, 18, 19, 21-26, 28-32, 38-43, 46 and 49-51 are pending in the application. Claims 1-3, 38, 41, 43, 46, 50 and 51 are rejected. Claims 4, 5, 11, 12, 18, 19, 21-26, 28-32, 39, 40, 42 and 49-51 are objected to. Any inquiry concerning this communication or earlier communications from the examiner should be directed to DAVID SHIM whose telephone number is (571)270-1205. The examiner can normally be reached Monday - Friday, 9 AM - 5 PM EST. 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, RENEE CLAYTOR can be reached at (571)272-8394. 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. /D.M.S./Examiner, Art Unit 1626 /KAMAL A SAEED/Primary Examiner, Art Unit 1626
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Prosecution Timeline

Sep 21, 2023
Application Filed
Dec 12, 2025
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
60%
Grant Probability
99%
With Interview (+57.4%)
2y 7m
Median Time to Grant
Low
PTA Risk
Based on 83 resolved cases by this examiner. Grant probability derived from career allow rate.

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