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Filed on Behalf Of: Senior Party, Broad Paper No Filed on behalf of: Senior Party, Broad Paper No. ____ By: Steven R. Trybus By: Raymond N. Nimrod Locke Lord LLP Quinn Emanuel Urquhart & Sullivan, LLP 111 South Wacker Drive 51 Madison Avenue Chicago, IL 60606 New York, NY 10010 Telephone: 312-443-0699 Telephone: 212-849-7000 [email protected] [email protected] UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD THE REGENTS OF THE UNIVERSITY OF CALIFORNIA, UNIVERSITY OF VIENNA, and EMMANUELLE CHARPENTIER, Junior Party (Applications 15/947,680; 15/947,700; 15/947,718; 15/981,807; 15/981,808; 15/981,809; 16/136,159; 16/136,165; 16/136,168; 16/136,175; 16/276,361; 16/276,365; 16/276,368; and 16/276,374), v. THE BROAD INSTITUTE, INC., MASSACHUSETTS INSTITUTE OF TECHNOLOGY, and PRESIDENT AND FELLOWS OF HARVARD COLLEGE, Senior Party (Patents 8,697,359; 8,771,945; 8,795,965; 8,865,406; 8,871,445; 8,889,356; 8,895,308; 8,906,616; 8,932,814; 8,945,839; 8,993,233; 8,999,641; and 9,840,713; and Application 14/704,551). Patent Interference No. 106,115 (DK) (Technology Center 1600) BROAD REPLY 5 (for judgment based on priority) 1 TABLE OF CONTENTS 2 Page 3 I. INTRODUCTION ...............................................................................................................1 4 II. DESCRIPTION OF APPENDICES ....................................................................................5 5 III. ARGUMENT .......................................................................................................................5 6 A. CVC Does Not Meaningfully Challenge The Sufficiency Of Broad’s 7 Priority Proofs ..........................................................................................................5 8 B. CVC’S Attacks On Corroboration Lack Merit ........................................................7 9 C. CVC’s Derivation Claim Is Untimely, Improper, And Nothing More Than 10 A Repackaged Argument Based On The Jinek 2012 Disclosure ............................8 11 D. CVC’s Derivation Claim Fails Because Its Inventors Lacked A Prior, 12 Complete Conception At The Time Of The Alleged Derivation ...........................11 13 1. For The Possession Requirement, CVC Makes Inflammatory and 14 Erroneous Arguments Against Broad’s Prior Arguments .........................11 15 2. For The Definite And Permanent Idea Requirement, CVC Fails To 16 Come To Grips With Its Repeated And Extensive Failures After 17 Communication Of The Alleged Conception ............................................12 18 3. For The Reasonable Expectation Of Success Requirement, CVC 19 Makes Erroneous Legal And Factual Arguments ......................................14 20 (a) CVC Misstates The Conception Law For Claims That 21 Recite A Specific Biological Result ..............................................14 22 (b) CVC’s Arguments Regarding Simultaneous 23 Conception/Reduction To Practice Are Irrelevant And 24 Wrong ............................................................................................14 25 (c) CVC’s New Fact Declarations Come Only From Biased 26 Witnesses And Conflict With The Contemporaneous 27 Record ............................................................................................18 28 E. CVC’s Derivation Claim Fails On The Facts Because Far From 29 Communicating the Complete Invention, The Public Disclosure (Less 30 Than Jinek 2012) Does Not Even Render Dr. Zhang’s Inventions Obvious .........20 31 F. CVC’s Derivation Claim Fails Because Dr. Zhang Knew Of And 32 Successfully Used All Aspects Required For A Functional Eukaryotic 33 CRISPR-Cas9 System—Including tracrRNA—Prior To The Marraffini 34 Communication ......................................................................................................22 35 1. CVC Cannot Erase Dr. Zhang’s Pre-Existing Eukaryotic CRISPR- 36 Cas9 System Experience And Knowledge ................................................22 37 2. The Facts Contradict CVC’s Claim That Dr. Zhang Did Not 38 Understand tracrRNA Was Necessary .......................................................24 i INTERFERENCE 106,115 BROAD REPLY 5 1 (a) CVC Intentionally Misreads The Record Regarding Dr. 2 Zhang’s Understanding Of The Role Of tracrRNA .......................25 3 (b) Dr. Zamore’s Opinion On tracrRNA Is Irrelevant And 4 Illogical ..........................................................................................27 5 3. Dr. Zhang Did Not Drop His Prior Dual-Molecule Systems .....................28 6 4. Dr. Zhang Did Not Use Only “Ordinary Skill” And “Routine 7 Techniques” In Creating His Eukaryotic CRISPR-Cas9 System ..............30 8 IV. CONCLUSION ..................................................................................................................30 9 APPENDIX A: LIST OF EXHIBITS CITED ............................................................................ A-1 10 APPENDIX B: STATEMENT OF MATERIAL FACTS ...........................................................B-1 11 BROAD’S FACTS AND CVC’s RESPONSES .............................................................B-1 12 CVC’s FACTS AND BROAD’S RESPONSES............................................................B-17 13 BROAD’S ADDITIONAL FACTS ...............................................................................B-29 14 15 ii INTERFERENCE 106,115 BROAD REPLY 5 1 TABLE OF AUTHORITIES 2 Page 3 Cases 4 Alexander v. Williams, 5 342 F.2d 466 (C.C.P.A. 1965) ........................................................................................... 23, 24 6 Applegate v. Scherer, 7 332 F.2d 571 (C.C.P.A. 1964) ..................................................................................... 15, 16, 17 8 Brown v. Regents of Univ. of California, 9 866 F. Supp. 439 (N.D. Cal. 1994) .................................................................................... 17, 18 10 Burroughs Wellcome Co. v. Barr Labs., Inc., 11 40 F.3d 1223 (Fed. Cir. 1994)............................................................................................ 13, 14 12 Cumberland Pharms. Inc. v. Mylan Institutional LLC, 13 846 F.3d 1213 (Fed. Cir. 2017)................................................................................................ 21 14 Dawson v. Dawson, 15 710 F.3d 1347 (Fed. Cir. 2013)................................................................................................ 13 16 Gambro Lundia AB v. Baxter Healthcare Corp., 17 110 F.3d 1573 (Fed. Cir. 1997)................................................................................................ 11 18 Hitzeman v. Rutter, 19 243 F.3d 1345 (Fed. Cir. 2011)................................................................................................ 14 20 Larson v. Johenning, 21 17 U.S.P.Q.2d 1610 (B.P.A.I. 1990).......................................................................................... 8 22 MacMillan v. Moffett, 23 432 F.2d 1237 (C.C.P.A. 1970) ......................................................................................... 16, 17 24 Mead v. McKirnan, 25 585 F.2d 504 (C.C.P.A. 1978) ................................................................................................. 20 26 New England Braiding Co., Inc. v. A.W. Chesterton Co., 27 970 F.2d 878 (Fed. Cir. 1992).................................................................................................. 21 28 Price v. Symsek, 29 988 F.2d 1187 (Fed. Cir. 1993).................................................................................................. 7 30 Regents of Univ. of Cal. v. Broad Inst., Inc., 31 903 F.3d 1286 (Fed. Cir. 2018)............................................................................................ 3, 31 32 Statutory Authorities 33 35 U.S.C. § 102(f) ........................................................................................................................... 1 iii INTERFERENCE 106,115 BROAD REPLY 5 1 Rules and Regulations 2 37 C.F.R. § 41.208 .......................................................................................................................... 1 3 Bd. R. 121 ....................................................................................................................................... 1 iv INTERFERENCE 106,115 BROAD REPLY 5 1 I. INTRODUCTION 2 CVC’s Opposition to Broad’s Substantive Motion No. 5 confirms that CVC cannot defeat 3 Broad’s showing on priority. Dr. Zhang’s conception and ARTPs are beyond legitimate dispute. 4 Indeed, the very sgRNA experiments relied on as ARTPs were subjected to contemporaneous peer 5 review, found to demonstrate successful editing in eukaryotic cells, and published in the landmark 6 Cong 2013 paper. Faced with this evidence, CVC presents no meaningful arguments against 7 Zhang’s conception or ARTPs. Instead, CVC concocts a misplaced derivation argument to try to 8 take credit for Zhang’s groundbreaking success in eukaryotic cells, which occurred while the CVC 9 inventors were floundering with eukaryotic cells—even with their cadre of cell-specific experts. 10 CVC’s derivation claim fails for many reasons. First, it is untimely and improper. CVC 11 bears the burden of proving derivation under 35 U.S.C. § 102(f), as it would with any other 12 invalidity ground. Under Bd. R. 121 and 37 C.F.R. § 41.208, CVC needed to seek relief based on 13 alleged derivation through a substantive motion. CVC seeks to excuse its failure to do so by 14 pointing to the deposition testimony of Dr. Marraffini who communicated to Zhang an sgRNA 15 construct with a GAAA linker.
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