Grunenthal Gmbh v. Alkem Laboratories Limited
Opinion
*1336
Alkem Laboratories Limited, Hikma Pharmaceuticals International Limited, and Hikma Pharmaceuticals USA Inc. appeal the judgment of the district court that
BACKGROUND
A. Patents at Issue
Grünenthal GmbH ("Grünenthal") is the assignee of U.S. Patent Nos. 7,994,364 ("the '364 patent") and 8,536,130 ("the '130 patent"). Assertio Therapeutics, Inc., formerly Depomed, Inc. ("Depomed"), is an exclusive licensee of both patents. Each patent is listed in the U.S. Food and Drug Administration's ("FDA")
Approved Drug Products with Therapeutic Equivalence Evaluations
(the "Orange Book") for NUCYNTA® ER (extended release), a tapentadol hydrochloride tablet. J.A. 52853, 52856. The '364 patent is directed to the Form A polymorph
1
of the chemical compound tapentadol hydrochloride and a method of treating pain and/or urinary incontinence.
2
See
'364 patent, Abstract;
The '130 patent describes a method of using tapentadol and tapentadol hydrochloride for the treatment of polyneuropathic pain. Polyneuropathic pain is a type of pain caused by damage to multiple nerves. In contrast, mononeuropathic pain is pain associated with damage to a single nerve.
Claim 1 of the '130 patent is directed to the method of treating "polyneuropathic pain" with tapentadol or "a pharmaceutically acceptable salt thereof," i.e., tapentadol hydrochloride. '130 patent, col. 18 ll. 2-7. Claim 2 is directed to the method of
*1337
treating polyneuropathic pain using "a hydrochloric salt" of tapentadol, i.e., tapentadol hydrochloride.
B. Prior Art References
There are two different polymorphs of tapentadol hydrochloride: Form A and Form B. Form B of tapentadol hydrochloride was known in the art and previously disclosed in
Also known in the art at the time of filing was the concept of polymorph screening, which is the practice of characterizing all crystal forms of a chemical compound. A 1995 article by Byrn et al. 4 ("Byrn") "describes a conceptual approach to the characterization of pharmaceutical solids," including a flow chart describing investigative steps to determine whether polymorphs are possible. J.A. 57372-73. Byrn does not outline a particular method to definitively test for polymorphism. 5 Instead, it provides a decision tree outlining, among other things, different ways to gain additional information about whether polymorphs exist for a particular chemical compound and lists various analytical tests to identify polymorphs. J.A. 57373.
To determine whether polymorphs are possible, Byrn lists a number of solvents to be used in recrystallizing the substance in question. The listed solvents are water, methanol, ethanol, propanol, isopropanol, acetone, acetonitrile, ethyl acetate, and hexane.
C. Proceedings in District Court
Grünenthal and Depomed (collectively, "Cross-Appellants") brought suit against Alkem Laboratories Limited ("Alkem"), Hikma Pharmaceuticals International Limited, 6 Hikma Pharmaceuticals USA Inc. (collectively, "Hikma"), and Actavis Elizabeth LLC ("Actavis"), 7 alleging infringement *1338 of the '364 and '130 patents stemming from their respective Abbreviated New Drug Application ("ANDA") filings seeking to market generic versions of immediate and extended release tapentadol hydrochloride tablets. 8 All defendants subsequently stipulated to infringement of the '364 patent. Alkem and Hikma challenged the validity of the '364 and '130 patents.
After a bench trial, the district court concluded that Alkem infringes the '130 patent, but that Actavis and Hikma do not.
In re Depomed Patent Litig.
, No. 13-cv-4507-CCC-MF,
Alkem and Hikma each appeal different aspects of the district court's invalidity rulings. Grünenthal and Depomed collectively appeal the district court's finding of noninfringement of the '130 patent. We have jurisdiction under
DISCUSSION
Much of Hikma's argument on appeal is made in the alternative and many of its arguments become moot should we hold Hikma does not infringe the '130 patent. Therefore, we will first address Cross-Appellants' arguments regarding noninfringement. We will then address Alkem's appeal of the finding that the '364 patent is not invalid as obvious and Hikma's challenge to the utility and validity of the '130 patent.
A. Infringement
We begin with a discussion of Grünenthal and Depomed's cross-appeal. Because neither Hikma's nor Actavis's proposed label is indicated to treat polyneuropathic pain, and the case made by Grünenthal and Depomed for indirect infringement depended on the proposed label indications, we agree with the trial court that Hikma and Actavis do not induce infringement of or contributorily infringe claims 1 and 2 of the '130 patent.
Depomed has several NUCYNTA® products used "for the management of moderate to severe acute pain in adults." See J.A. 70-73. One of Depomed's products, NUCYNTA® ER (extended release), is a tablet approved for the following indications:
NUCYNTA® ER is an opioid agonist indicated for the management of:
• moderate to severe chronic pain in adults
• neuropathic pain associated with diabetic peripheral neuropathy (DPN) in adults
when a continuous, around-the-clock opioid analgesic is needed for an extended period of time.
J.A. 50091 (emphasis added, reference numerals omitted). The label makes no explicit reference to "polyneuropathic pain," but DPN is a type of polyneuropathic pain. Depomed Br. 18, 20. The original label for NUCYNTA® ER did not include the second indication to treat neuropathic pain. J.A. 50310.
*1339
Hikma and Actavis each filed ANDAs seeking approval to market a generic version of tapentadol hydrochloride extended release tablets. Both parties filed "Section viii" statements under
Induced Infringement
After a bench trial, this court reviews a district court's judgment for legal error or clearly erroneous findings of fact.
SmithKline Beecham Corp. v. Apotex Corp.
,
In this case, the question of induced infringement turns on whether Hikma and Actavis have the specific intent, based on the contents of their proposed labels, to encourage physicians to use their proposed ANDA products to treat polyneuropathic pain.
See
Takeda Pharm. U.S.A., Inc. v.West-Ward Pharm. Corp.
,
"The pertinent question is whether the proposed label instructs users to perform the patented method."
AstraZeneca
,
Actavis's proposed ANDA product is indicated for "[p]ain severe enough to require daily, around-the-clock, long-term opioid treatment." J.A. 52679. Hikma's proposed ANDA product has a similar indication, designated for "[m]oderate to severe chronic pain in adults when a continuous, around-the-clock opioid analgesic is needed for an extended period of time." J.A. 56864-65; see also Hikma Br. 23. To support these indications, the Hikma and Actavis proposed labels cite chronic lower back pain studies, a type of pain that both Cross-Appellants and FDA defined as nociceptive. 9 At trial, experts on both sides testified that severe chronic pain could be neuropathic pain or nociceptive pain. E.g. , J.A. 9190 (169:9-17); J.A. 9388 (40:15-22); J.A. 9389 (41:19-23); J.A. 9399 (51:20-22); J.A. 10630 (54:2-8); J.A. 11161 (12:4-14); J.A. 11208 (59:13-20). In other words, even if severe chronic pain includes polyneuropathic pain, it also includes mononeuropathic pain and nociceptive pain. Therefore, the proposed ANDA labels do not specifically encourage use of tapentadol hydrochloride for treatment of polyneuropathic pain.
Further, it is undisputed that neither of the accused ANDA labels list an indication for the management of pain associated with DPN. Nor do they mention any DPN
*1340
clinical studies, which served as the basis for FDA approval of NUCYNTA® ER's indication for the treatment of neuropathic pain. In fact, both Hikma and Actavis filed "Section viii" statements with FDA specifically carving out the neuropathic pain indication. Accordingly, we agree with the district court that these labels do not encourage infringement of the '130 patent.
See
Takeda
,
Cross-Appellants rely heavily on the holding in
AstraZeneca LP v. Apotex, Inc.
, where we held that if the label instructs "at least some users" to infringe the patent, then specific intent to induce infringement may be inferred.
Contributory Infringement
To establish liability for contributory infringement, a patent owner must show,
inter alia
, that there are no substantial noninfringing uses for the accused product.
The question before us is whether the noninfringing uses Hikma and Actavis identified for the district court are "substantial." Cross-Appellants argue that any non-in-fringing uses for the proposed ANDA products are "rare" and not substantial. Depomed Response Br. 74. We disagree and find no clear error in the district court's finding that Hikma and Actavis do not contributorily infringe the '130 patent.
The district court weighed the testimony of all experts in this case, giving due consideration to both Cross-Appellants' and Appellants' experts. Cross-Appellants' experts opined that most of the uses of the proposed ANDA products would be directed to chronic, polyneuropathic pain. Appellants' experts, some of whom included practicing physicians, provided testimony about the use of tapentadol hydrochloride in their respective practices, including statements that they have prescribed opioids to treat severe chronic pain conditions that are nociceptive or not polyneuropathic. They testified that treating nociceptive or mononeuropathic conditions with tapentadol hydrochloride would not be unusual. Although there appears to be
*1341
evidence supporting both positions, the court made credibility determinations that supported Hikma and Actavis's theory of noninfringement. We see no reason to disturb those findings.
See
Nilssen v. Osram Sylvania, Inc.
,
B. Obviousness
Obviousness is a question of law with underlying factual findings related to, among other things, the scope and content of the prior art, whether a person of ordinary skill in the art ("POSA") would have had reason to combine or modify the prior art to arrive at the claimed invention, and in so doing, would have had a reasonable expectation of success.
IXI IP, LLC v. Samsung Elecs. Co., Ltd.
,
On appeal, Alkem argues that, at least because of FDA guidance suggesting the undertaking of polymorph screenings for pharmaceutical solids, the district court clearly erred in finding no motivation to combine. We need not address that challenge because Alkem acknowledges that it also had to prove a reasonable expectation of success in arriving at Form A or, relatedly, it would have been obvious to try to find a polymorph of Form B of tapentadol hydrochloride. Based on the district court's findings of fact, we conclude that Alkem has not met those standards. Consequently, we reject the challenge to the district court's holding that Alkem failed to prove obviousness.
Reasonable Expectation of Success
The district court did not clearly err in finding that a POSA would not have had a reasonable expectation of successfully producing Form A, as claimed in the '364 patent, by using the methods outlined in Byrn on the compound disclosed in the '737 patent (Form B). As an initial matter, polymorphism of tapentadol hydrochloride was unknown at the time of filing the '364 patent. Form B was the only crystal structure of tapentadol hydrochloride known in the art at the time.
See
J.A. 8567 (267:13-21); 9772-73 (50:11-51:10). As the record reflects, polymorphism does not occur in all compounds.
Depomed Litigation
,
The Byrn article presents a flow chart that outlines a number of variables that may be adjusted during the recrystallization process to determine whether polymorphism occurs in a compound. Figure 1 below is the polymorphs tree presented in Byrn.
*1342
J.A. 57373. At the outset, Byrn lists a number of solvents to be used to recrystallize a substance to first determine whether polymorphs are possible. "Solvents should include those used in the final recrystallization steps and those used during formulation and processing and may also include water, methanol, ethanol, propanol, isopropanol, acetone, acetonitrile, ethyl acetate, hexane and mixtures if appropriate."
Byrn also instructs a POSA to "vary temperature, concentration, agitation, pH."
Despite the lack of disclosure in Byrn, Alkem argues that any polymorph screening of a sample of tapentadol hydrochloride would result in Form A, either in whole or in part, because Form A is more stable at room temperature. Alkem contends that it is "not disputed" that the synthesis described in Example 25 of the '737 patent resulted in at least some Form A. Alkem Br. 34. In other words, Alkem asserts a POSA would have likely performed polymorph screening on a sample with some Form A if following the synthesis steps of Example 25. The record, however, does not support Alkem's argument.
Alkem advanced this same argument before the district court to allege that the '737 patent inherently anticipates the '364 patent, an issue that is not before us. The district court rejected Alkem's inherent anticipation theory because the method of synthesis that Alkem used, for purposes of this litigation, to produce a sample of tapentadol hydrochloride that comprised a mixture of Form A and Form B was not performed in accordance with the three steps outlined in Example 25 of the '737 patent.
Depomed Litigation
,
Alkem also argues that the district court applied the wrong legal standard in its obviousness inquiry, requiring "absolute predictability," as opposed to a reasonable expectation of success. Indeed, in each of the cases Alkem cites, we did not require "absolute predictability," but acknowledged that the combination of prior art disclosures resulted in a predictable outcome.
See
Pfizer
,
For example, in
Pfizer, Inc. v. Apotex, Inc.
, we determined that a POSA would have had a reasonable expectation of success
*1344
to make amlodipine besylate based on the disclosure of amlodipine and a list of "53 FDA-approved, commercially marketed anions."
In
AstraZeneca LP v. Breath Ltd.
, we concluded that a POSA would have had a reasonable expectation of success of producing the claimed sterile budesonide composition using known sterilization techniques even if the level of purity resulting from the methods was not actually known.
In
Cubist Pharmaceuticals, Inc. v. Hospira, Inc.
, we agreed with the district court's determination that it would have been obvious to use well-known purification techniques to produce a daptomycin-related substance having the recited purity levels.
The prior art processes described in
Breath
and
Cubist
were each known to purify substances, and therefore it was reasonably predictable that these methods would result in purity levels described in the claims. In
Pfizer
, the realm of possible anions could be reduced to a manageable number based on
known
properties of the anions, thus providing a POSA with a reasonable expectation of success. Here, a POSA did not know, or have reason to know, that tapentadol hydrochloride is polymorphic. Nor could a POSA know, or have reason to know, how the multiple variables involved in conducting a polymorph screen would affect the recrystallization of tapentadol hydrochloride. Byrn does not provide any guidance as to how the different solvents, varying temperatures, rates of agitation, or other variables used in polymorph screenings should be manipulated to even determine whether polymorphism occurs.
Cf.
KSR Int'l Co. v. Teleflex Inc.
,
Our decision today does not rule out the possibility that polymorph patents could be found obvious. But on the record here, the *1345 district court did not clearly err in finding a failure to prove that a POSA would have had a reasonable expectation of success at arriving at the claimed invention based on the prior art. As a result, we hold the district court did not commit legal error in concluding the '364 patent is not invalid as obvious.
Obvious to Try
Alkem contends that because Byrn discloses a finite number of solvents to use for recrystallization, it would have been obvious to try to produce Form A of tapentadol hydrochloride. To prove obviousness under an obvious to try theory, Alkem must show (1) a design or market need to solve a particular problem,
and
(2) that "there are a finite number of identified, predictable solutions" that would lead to an expectation of success.
KSR
,
As stated above, the district court did not clearly err in finding that Byrn identified many variables for screening, i.e., a "huge number of possible choices," as opposed to a "finite number," as contemplated in
KSR
.
See
Depomed Litigation
,
C. Utility
We now turn to the question of the '364 patent's utility. Utility is a question of fact.
Stiftung v. Renishaw PLC
,
Hikma contends that the '364 patent lacks specific utility because the specification vaguely states that "Crystalline Form
*1346
A ... has the same pharmacological activity as Form B but is more stable under ambient conditions. It can be advantageously used as [an] active ingredient in pharmaceutical compositions." '364 patent, col. 4 ll. 13-16. Hikma argues this disclosure fails to provide a "well-defined and particular benefit to the public." Hikma Br. 32 (citing
In re Fisher
,
Hikma's arguments are without merit. The '364 patent teaches that "[t]he crystalline Form A according to the invention is used for the treatment of pain or the treatment of urinary incontinence." '364 patent, col. 4 ll. 63-65;
see also
Hikma next argues that to show substantial utility, Form A's superior stability over Form B at room temperature must not only be proven, but must be proven by test data. Hikma attempts to set too high a bar for purposes of finding a sufficient disclosure of utility. While test results often support claims of utility in patents concerning pharmacological arts, such testing is not always required.
Rasmusson v. SmithKline Beecham Corp.
,
The district court found that a POSA would have believed that, at the time of filing the '364 patent, Form A was more stable than Form B at room temperature, i.e., "ambient conditions." Example 16 describes a variable temperature XRPD experiment that produced Form B from Form A at temperatures (40-50° C) higher than room temperature. '364 patent, col. 18 ll. 53-57. This effect is "reversible with Form B changing over into Form A at lower temperature."
For these reasons, we hold that the district court's finding of utility was not clearly erroneous.
*1347 Hikma makes additional arguments regarding the validity of the '130 patent to be considered only if this court reverses the district court's findings of noninfringement of the '130 patent. Because we affirm the findings of noninfringement, we need not reach these issues.
CONCLUSION
For the foregoing reasons, we affirm the judgment of the district court.
AFFIRMED
COSTS
No costs.
A polymorph is a chemical compound that can present in different three-dimensional crystalline structures.
The patent claims "(-)-(1R,2R)-3-(3-dimethylamino-1-ethyl-2-methylpropyl)-phenol hydrochloride," which is tapentadol hydrochloride. '364 patent, col. 18 ll. 66-67; see also Grünenthal Br. 8.
Example 25 incorporates by reference the synthesis steps of Example 24 and the synthesis preparation process of Example 2 of the '737 patent. '737 patent, col. 20 ll. 18-20.
Stephen Byrn et al., Pharmaceutical Solids: A Strategic Approach to Regulatory Considerations , 12 Pharmaceutical Res. 945 (1995).
Polymorphism is the ability of a compound to crystallize in more than one crystal arrangement but retain the same chemical structure. J.A. 8528 (228:11-14); J.A. 57373.
Hikma Pharmaceuticals International Limited was formerly known as West-Ward Pharmaceuticals International Limited. During pendency of this appeal, defendant Roxane Laboratories, Inc. ("Roxane") transferred ownership of its ANDA applications, which are at issue in the instant appeal, to West-Ward Pharmaceuticals International Limited. ECF No. 65. As a result, West-Ward Pharmaceuticals International Limited was substituted for Roxane in this appeal. ECF No. 66.
Grünenthal and Depomed also brought suit against Actavis Laboratories UT, Inc., Actavis LLC, and Actavis, Inc. These defendants did not participate in this appeal.
U.S. Patent Nos. RE39,593 and 8,309,060 were also asserted. J.A. 33. U.S. Patent No. RE39,593 is not directly at issue in this appeal, but Hikma relies on it for purposes of its invalidity arguments. The proceedings involving
Nociceptive pain is pain associated with damage to non-neural tissue, or non-nerve tissue.
Reference
- Full Case Name
- GRUNENTHAL GMBH, Assertio Therapeutics, Inc., Plaintiffs-Cross-Appellants v. ALKEM LABORATORIES LIMITED, Hikma Pharmaceuticals International Limited, Hikma Pharmaceuticals USA Inc., Defendants-Appellants Actavis Elizabeth LLC, Defendant-Appellee Actavis Laboratories UT, Inc., Defendant
- Cited By
- 28 cases
- Status
- Published