Trustees of Columbia Univ. v. Illumina, Inc.

CourtCourt of Appeals for the Federal Circuit
DecidedFebruary 1, 2021
Docket19-2302
StatusUnpublished

This text of Trustees of Columbia Univ. v. Illumina, Inc. (Trustees of Columbia Univ. v. Illumina, Inc.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Federal Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Trustees of Columbia Univ. v. Illumina, Inc., (Fed. Cir. 2021).

Opinion

Case: 19-2302 Document: 61 Page: 1 Filed: 02/01/2021

NOTE: This disposition is nonprecedential.

United States Court of Appeals for the Federal Circuit ______________________

TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK, Appellant

v.

ILLUMINA, INC., Appellee ______________________

2019-2302, 2019-2303, 2019-2304, 2019-2305, 2019-2452 ______________________

Appeals from the United States Patent and Trademark Office, Patent Trial and Appeal Board in Nos. IPR2018- 00291, IPR2018-00318, IPR2018-00322, IPR2018-00385, IPR2018-00797. ______________________

Decided: February 1, 2021 ______________________

JOHN D. MURNANE, Venable LLP, New York, NY, ar- gued for appellant. Also represented by ZACHARY L. GARRETT, ROBERT SETH SCHWARTZ; JUSTIN J. OLIVER, Washington, DC; JOHN P. WHITE, Cooper & Dunham, LLP, New York, NY.

EDWARD R. REINES, Weil, Gotshal & Manges LLP, Case: 19-2302 Document: 61 Page: 2 Filed: 02/01/2021

Redwood Shores, CA, argued for appellee. Also repre- sented by DEREK C. WALTER; BRIAN GEORGE LIEGEL, Mi- ami, FL. ______________________

Before LOURIE, O’MALLEY, and REYNA, Circuit Judges. LOURIE, Circuit Judge. The Trustees of Columbia University in the City of New York (“Columbia”) appeal from two final written deci- sions of the U.S. Patent and Trademark Office Patent Trial and Appeal Board (“the Board”) holding claim 1 of U.S pa- tent 9,718,852 (“the ’852 patent”), claim 1 of U.S. Patent 9,719,139 (“the ’139 patent”), claim 1 of U.S. Patent 9,708,358 (“the ’358 patent”), claim 1 of U.S. Patent 9,725,480 (“the ’480 patent”), and claims 1–2 of U.S. Patent 9,868,985 (“the ’985 patent”) unpatentable as obvious. See Illumina, Inc. v. Trustees of Columbia Univ. in the City of New York, Nos. IPR2018-00291, IPR2018-00318, IPR2018- 00322, IPR2018-00385, 2018 WL 8619911 (P.T.A.B. June 21, 2019) (“Decision I”), J.A. 1–81; Illumina, Inc. v. Trustees of Columbia Univ. in the City of New York, No. IPR2018- 00797 (P.T.A.B. Sept. 9, 2019), J.A. 82–162 (“Decision II”). For the reasons detailed below, we affirm. BACKGROUND The ’852, ’139, ’358, ’480, and ’985 patents (collectively, “the patents”) are directed to nucleotide analogs and a method of using nucleotide analogs to sequence DNA. Ap- pellant Br. at 2. The method is called sequencing-by-syn- thesis (“SBS”). Id. SBS works by “detecting the identity of a nucleotide analogue after the nucleotide analogue is in- corporated into a growing strand of DNA.” ’852 patent col. 4 ll. 46–48. The patents explain that SBS generally includes the following steps: First SBS requires “mak[ing] nucleotide analogues” by (a) “linking a unique label such as a Case: 19-2302 Document: 61 Page: 3 Filed: 02/01/2021

TRUSTEES OF COLUMBIA UNIV. v. ILLUMINA, INC. 3

fluorescent dye or a mass tag through a cleavable linker to the nucleotide base or an analogue of the nucleotide base” and (b) “us[ing] a small cleavable chemical moiety to cap the 3′-OH group of the deoxyribose to make it nonreac- tive.” 1 ’852 patent col. 3 ll. 4–11. The “nucleotide ana- logue[]” is incorporated “into the growing DNA strand as [a] terminator[].” Id. col. 3 ll. 11–13. Second, “[d]etection of the unique label will yield the sequence identity of the nucleotide,” i.e., adenine, thymine, guanine, or cytosine. Id. col. 3 ll. 13–14. Third “[u]pon removing the label and the 3′-OH capping group, the polymerase reaction will pro- ceed to incorporate the next nucleotide analogue and detect the next base.” Id. col. 3 ll. 14–17. “These steps (incorpo- ration of the modified nucleotide, identification of the label, cleavage of the capping group and the label) result in one nucleotide being sequenced and are known as a ‘cycle’ of SBS.” Appellant Br. at 10. Claim 1 of the ’852 patent reads as follows: 1. An adenine deoxyribonucleotide analogue having the structure:

wherein R (a) represents a small, chemically cleavable, chemical group capping the oxygen at the 3′ position of the deoxyribose of the deoxyribonucle- otide analogue, (b) does not interfere with

1 Because the patents share a substantially similar specification, all citations are to the ’852 patent unless oth- erwise noted. Decision, 2018 WL 8619911, at *2. Case: 19-2302 Document: 61 Page: 4 Filed: 02/01/2021

recognition of the analogue as a substrate by a DNA polymerase, (c) is stable during a DNA poly- merase reaction, and (d) does not contain a ketone group; wherein OR is not a methoxy group or an ester group; wherein the covalent bond between the 3′-oxy- gen and R is stable during a DNA polymerase reac- tion; wherein tag represents a detectable fluorescent moiety; wherein Y represents a chemically cleavable, chemical linker which (a) does not interfere with recognition of the analogue as a substrate by a DNA polymerase and (b) is stable during a DNA polymerase reaction; and wherein the adenine deoxyribonucleotide ana- logue: i) is recognized as a substrate by a DNA polymerase, ii) is incorporated at the end of a grow- ing strand of DNA during a DNA polymer- ase reaction, iii) produces a 3′-OH group on the deox- yribose upon cleavage of R, iv) no longer includes a tag on the base upon cleavage of Y, and v) is capable of forming hydrogen bonds with thymine or a thymine nucleotide ana- logue. ’852 patent col. 34 l. 2–col. 35 l. 4 (emphases added). Case: 19-2302 Document: 61 Page: 5 Filed: 02/01/2021

TRUSTEES OF COLUMBIA UNIV. v. ILLUMINA, INC. 5

The ’139, ’358, and ’480 patents recite substantially the same claim as claim 1 of the ’852 patent but with a different base: ’139 (thymine), ’358 (cytosine), and ’480 (guanine). See ’139 patent col. 34 l. 2–col. 35 l. 6; ’358 patent col 34 l. 2–col. 35 l. 4; ’480 patent col. 34 l. 2–col. 35 l. 4; Appellant Br. at 24. Lastly, the ’985 patent includes method claims for sequencing DNA using the nucleotide analogs claimed in the other four patents. Independent claim 1 of the ’985 patent recites, in relevant part, “[a] method for sequencing a nucleic acid which comprises detecting the identity of a nucleotide analogue incorporated into the end of a growing strand of DNA in a polymerase reaction . . . .” ’985 patent col. 34 l. 2–col. 36. l. 28. This appeal primarily centers on one aspect of the claims: the use of a capping group that is “small,” and not a “ketone group,” “a methoxy group, or an ester group.” ’852 patent col. 34 ll. 18–26; ’139 patent col. 34 ll. 18–26; ’358 patent col 34 ll. 17–24; ’480 patent col. 34 ll. 19–25; ’985 patent col. 35 l. 27–col. 36 l. 1; see also Appellant Br. at 21–22. According to Columbia, the inventors discovered that a capping group should have these characteristics in order to “work for SBS.” Appellant Br. at 22. Relevant to this appeal an “allyl capping group” is small, and is not ke- tone, methoxy, or ester. See Decision I, 2018 WL 8619911, at *7, *28. Illumina, Inc. (“Illumina”) filed petitions for inter partes review of the ’852, ’139, ’358, ’480, and ’985 patents. In the petitions, it asserted that certain combinations of prior art references would have rendered obvious the use of a labeled nucleotide analog with an allyl capping group. The prior art references include (1) Tsien et al., WO 91/06678 (May 16, 1991) (“Tsien”), (2) James M. Prober et al., A System for Rapid DNA Sequencing with Fluorescent Chain-Terminating Dideoxynucleotides, 238 SCIENCE 336– 41 (Oct. 16, 1987) (“Prober”), (3) Michael L. Metzker et al., Termination of DNA synthesis by novel 3′- modified-deoxy- ribonucleoside 5’-triphosphates, 22 NUCLEIC ACIDS Case: 19-2302 Document: 61 Page: 6 Filed: 02/01/2021

RESEARCH 4259–67 (1994) (“Metzker”), and (4) Dower et al., U.S. Patent 5,547,839, Aug. 20, 1996 (“Dower”). Like the patents, Tsien discloses that DNA can be se- quenced using the SBS method. See J.A. 3412–13; Decision I, 2018 WL 8619911, at *9; Appellant Br. at 27.

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