Invalidity dossier

US 4894366

Tricyclo compounds, a process for their production and a pharmaceutical composition containing the same

Current assignee: Astellas Pharma Inc

Added 9/24/2026, 7:11:21 AM

IndustryMedical (M)
At a glanceNo PTAB challengesNo litigation on fileMedical (M)

Active provider: DeepSeek · deepseek-v4-flash

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Patent summary

Title, assignee, inventors, filing/issue dates, abstract, and a plain-language overview of the claims.

✓ Generated

I'll verify against the authoritative text I have and run searches for the docket/litigation angle.

The general searches didn't surface any 2026 CAFC or USPTO proceeding tied to this number. Let me try to pin down the claim set and any litigation history specifically.

I have the claim-1 and claim-12 text. Let me pull the full claim set (especially any process/method independents) to be accurate.

Verification & Scope of Search

I ran searches against the USPTO/Google Patents record, the FreePatentsOnline full-text record, and open-web indexes of Federal Circuit 2026 argument calendars and 2026 district-court / PTAB activity. Identifier interpreted literally: 4894366 = US 4,894,366. No similar-number substitution was made.

Result on your docket request: I found no CAFC 2026 docket entry, no PTAB/IPR, and no pending 2026 litigation naming US 4,894,366. The June 2026 CAFC scheduled-cases list I retrieved contains no party or patent matching this number, and no search returned a 2026 proceeding involving it. This is consistent with the record: Google Patents shows the patent as "Expired – Lifetime," adjusted expiration 2008-04-08 — i.e., it has been off-term for ~18 years. Caveat: my tools are general web search, not a direct PACER/PTAB API query, so I cannot rule out a low-visibility 2026 citation defensively distinguished in a brief; I found none.


Bibliographic Data (per Google Patents record)

Field Value
Patent number US 4,894,366 A
Title Tricyclo compounds, a process for their production and a pharmaceutical composition containing the same
Application no. US 06/799,855
Filing date 1985-11-20
Issue/publication date 1990-01-16
Priority 1984-12-03 (GB 848430455A); 1985-02-05 (GB 8502869D0); 1985-04-01 (GB 8508420D0)
Inventors Masakuni Okuhara; Hirokazu Tanaka; Toshio Goto; Tohru Kino; Hiroshi Hatanaka
Original assignee Fujisawa Pharmaceutical Co., Ltd.
Current assignee Astellas Pharma Inc.
Later recordation (2005-12-19) Assigned to ASTELLAS PHARMA INC. (FORMERLY YAMANOUCHI PHARMACEUTICAL CO., LTD.), assignor Fujisawa Pharmaceutical Co., Ltd.
Status Expired – Lifetime; adjusted expiration 2008-04-08

Note on assignee history: the recorded reassignment text describes the assignment chain as Fujisawa → Astellas (formerly Yamanouchi). I report it as recorded; I have not independently verified the corporate-transaction characterization in the assignment instrument.

Abstract (as published)

"This invention relates to tricyclo compounds useful for treatment and prevention of resistance by transplantation, graft-versus-host diseases by medulla ossium transplantation, autoimmune diseases, infectious diseases, and the like, which can be represented by the following formula: ##STR1## to a process for their production, to a pharmaceutical composition containing the same and to a use thereof."


Independent Claims — Plain-Language Overview

Claim 1 — Genus of tricyclo compounds (the broad compound claim).
Covers a 23-membered tricyclo macrolactam/macrolide of the depicted formula, or a pharmaceutically acceptable basic salt, where:

  • R¹ = hydroxy or a pharmaceutically acceptable protected hydroxy limited to: 1-(lower alkylthio)(lower)alkyloxy, tri(lower)alkylsilyloxy, lower alkyl-diphenylsilyloxy, pharmaceutically acceptable organic carboxylic acyloxy, and pharmaceutically acceptable organic sulfonic acyloxy;
  • R² = hydrogen, hydroxy, or lower alkanoyloxy;
  • R³ = methyl, ethyl, propyl or allyl;
  • n = 1 or 2; the dashed line = single or double bond;
  • Proviso: when R¹ and R² are each hydroxy, n = 2 and the bond is single, then R³ must be methyl, propyl or allyl.

Plain reading: this is the FK-506/FK-520/FR-900523 family, with a limited set of O-protecting groups. The proviso is significant — it carves out the R³ = ethyl member of that sub-genus (i.e., ascomycin/FK-520-type compounds), which suggests pre-existing art coverage of that species. Practically, claim 1 as issued does not read on ascomycin.

Claim 2 — Second, chemically narrower compound genus. A separate "A compound of the formula:" claim with its own Markush definition of R¹ (hydroxy; lower alkylthioalkoxy; lower alkyldiphenylsilyloxy; lower alkanoyloxy optionally carboxy-substituted; lower cycloalkoxy(lower)alkanoyloxy optionally bearing two lower alkyls on the cycloalkyl; camphorsulfonyloxy; aroyloxy optionally nitro-substituted [benzoyl, toluoyl, xyloyl, naphthoyl]; arenesulfonyloxy optionally halogen-substituted [benzene, toluene, xylene, naphthalene]; or phenyl(lower)alkanoyloxy optionally substituted by lower alkoxy and trihalo(lower)alkyl).

Claim 12 — Pharmaceutical composition. "An immunosuppressive or antimicrobial pharmaceutical composition containing an effective amount of a compound of claim 1, as an active ingredient, in association with a pharmaceutically acceptable, substantially non-toxic carrier or excipient."

Notable Dependent/Species Claims

  • Claim 5 — "The compound 17-allyl-1,14-dihydroxy-12-[2-(4-hydroxy-3-methoxycyclohexyl)-1-methylvinyl]-23,25-dimethoxy-13,19,21,27-tetramethyl-11,28-dioxa-4-azatricyclo[22.3.1.0⁴,⁹]octacos-18-ene-2,3,10,16-tetraone." → This is FR-900506 = FK-506 = tacrolimus. A third-party regulatory filing (Vietnamese drug-registration dossier for PROGRAF) identifies claim 5 as the claim that "establishes protection for the active substance Tacrolimus." This is the commercially dispositive claim.
  • Claims 3–4 — depend from claim 2 (R³ = allyl; R² = hydroxy or lower alkanoyloxy).
  • Claims 6–8 — acetate-type derivatives of the claim-5 compound.
  • Claim 9 — the 1,14-dihydroxy-12-[2-(4-hydroxy-3-methoxycyclohexyl)-1-methylvinyl]-23,25-dimethoxy-13,19,17,21,27-pentamethyl... tetraone, i.e., the FR-900523 substance (R³ = methyl).
  • Claim 10 — narrowed genus: R¹ = hydroxy / lower alkylthiomethoxy / lower alkanoyloxy / halogen-substituted arenesulfonyloxy; R² = H or OH; n = 2; double bond.
  • Claim 11 — a specific named compound ("16-allyl-1,1..." in the retrieved text; the string is truncated in my source, so I flag it as unverified).

Uncertainty flag: The retrievable full claim text runs at least through claim 12. I could not authoritatively confirm the total claim count, nor whether process claims (the title recites "a process for their production," and the specification discloses five synthetic Processes 1–5 plus fermentation) appear after claim 12. I will not speculate — if you need claim-count certainty or the process claim language, that requires the granted printed patent or the USPTO PatentCenter document.


Technical / Legal Context Worth Noting

  • Two depositary strains are the biological backbone of the disclosure: Streptomyces tsukubaensis No. 9993 (FERM BP-927, originally FERM P-7886, deposited 1984-10-05) and Streptomyces hygroscopicus subsp. yakushimaensis No. 7238 (FERM BP-928, originally FERM P-8043, deposited 1985-01-12).
  • Four fermentation-derived substances are characterized: FR-900506 (R³ = allyl, n = 2), FR-900520 (R³ = ethyl, n = 2 — ascomycin/FK-520), FR-900523 (R³ = methyl, n = 2), and FR-900525 (R³ = allyl, n = 1).
  • The patent is the foundational tacrolimus patent and is the priority root for a very large family, including US 5,254,562; 5,266,692; 5,624,842; 5,496,727; 5,565,559; 5,830,717; 6,028,097; 6,201,005; and 6,482,845 (per the Google Patents priority chain).
  • The 2008-04-08 adjusted expiration presumably reflects a patent-term extension/restoration keyed to a regulatory review period for PROGRAF. I report the date as recorded by Google Patents; I have not verified the underlying §156 determination.

Sources

Bottom line: US 4,894,366 is Fujisawa's foundational FK-506 (tacrolimus) case — a compound genus (claim 1), a second narrower compound genus (claim 2), specific species including tacrolimus itself (claim 5) and FR-900523 (claim 9), and an immunosuppressive/antimicrobial composition claim (claim 12). It is long expired (2008-04-08) and I found no 2026 CAFC, PTAB, or district-court activity involving it.

Generated 9/30/2026, 10:41:36 PM

Cases on file (0)

Specific litigation cases in our database that name US patent 4894366. The free-form analysis below may also discuss cases beyond this list.

No cases on file mention this patent. Upload a CSV or add a case manually in Admin → Manage litigation cases.

Litigation summary

Past and pending lawsuits — plaintiffs, defendants, jurisdictions, outcomes, and notable rulings.

✓ Generated

I'll search for litigation involving US patent 4894366 across patent litigation sources.

Let me search more targeted litigation databases and case law sources.

Let me dig into litigation-specific databases and search for cases naming the patent or its owner.

Bottom line

I could not confirm any litigation in which US 4,894,366 was asserted as a patent‑in‑suit. My searches of publicly indexed sources did not return a complaint, docket entry, judgment, or PACER/CAFC record naming the '366 patent. I also was unable to complete direct queries against the specific databases you named (Unified Patents litigation caselist, CourtListener/RECAP, paragraphfour.com) before hitting my tool‑call limit, so this should be treated as "not found in the sources I could reach" rather than a definitive negative.

I am deliberately not supplying case names, numbers, jurisdictions, or filing dates for the '366 patent, because I did not find any and inventing plausible‑looking docket data would be worse than reporting nothing.

What the '366 patent is, for context

  • US 4,894,366 ("Tricyclo compounds, a process for their production and a pharmaceutical composition containing the same"), original assignee Fujisawa Pharmaceutical Co., Ltd., current assignee Astellas Pharma Inc. (per the Google Patents record you supplied).
  • Claim 5 is the compound claim widely identified as covering the active ingredient tacrolimus (FK506) — confirmed in the Vietnamese regulatory dossier I retrieved, which states: "Điểm 5 yêu cầu bảo hộ của patent US 4894366 xác lập phạm vi bảo hộ cho hoạt chất Tacrolimus."
  • Term: granted 1990‑01‑16; Google Patents lists "Adjusted expiration … 2008‑04‑08" with legal status Expired – Lifetime. Any enforcement action would therefore have had to be filed and largely resolved on or before April 2008.

What the searches actually surfaced (related, but NOT the '366 patent)

These are tacrolimus/Prograf matters I found, but in each case the patents‑in‑suit are later patents, not '366:

Case (as reported by source) Patents‑in‑suit Source observation
Veloxis Pharmaceuticals, Inc. v. Alkem Laboratories Ltd., D. Del. No. 24‑cv‑0784 (consent judgment Jan. 13, 2026) 8,685,998; 9,549,918; 10,166,190; 10,864,199; 11,110,081; 11,123,331; 11,419,823; 12,083,103 paragraphfour.com PDF
Veloxis v. Accord Healthcare, Inc., D. Del. No. 1:22‑cv‑00909 (filed 2022‑07‑07) 10,166,190 drugpatentwatch.com tacrolimus litigation page
Veloxis Pharmaceuticals, Inc. v. Sun Pharmaceutical Industries Ltd., D. Del. 8,685,998; 9,549,918 paragraphfour.com / RPX Insight
Mitsubishi Tanabe Pharma Corp. et al. v. Zydus (D.N.J. No. 17‑5319, consolidated) 7,943,788; 8,222,219; 8,785,403 Consent/final judgment, fedcircuitblog.com
Sucampo v. Astellas (contract dispute over FK506/Protopic safety‑information exchange) none — breach of contract, not patent CourtListener PDF

Two additional items are sometimes mistaken for '366 litigation but are not:

  • Fujisawa Pharmaceutical Co. v. Kapoor, 936 F. Supp. 455 (N.D. Ill. 1996), aff'd in part/rev'd in part, 115 F.3d 1332 (7th Cir. 1997); later 16 F. Supp. 2d 941 (1998) — an ANDA‑fraud / RICO suit over Lyphomed's generic filings; the '366 patent is not the asserted patent.
  • The In re Pharmaceutical Industry Average Wholesale Price Litigation (MDL 1456, D. Mass.) filings involving Fujisawa are pricing/Medicaid fraud matters, not patent infringement.

Assessment and caveats

  1. Patent‑term timing is the most likely explanation. Because '366 expired 2008‑04‑08, Paragraph IV challenges to it would have had to be filed under the pre‑2008 paragraph‑iv regime, and there is a real possibility that pre‑expiry disputes were settled, handled administratively, or resolved without a reported opinion that a general web index would surface. It is also possible (given the 1990 grant and the 1996–2003 window of generic‑ANDA activity) that infringement was never litigated to a reported decision.
  2. I could not verify via the databases you specified. The Unified Patents litigation caselist, PACER, and the CAFC docket are the authoritative sources here, and my searches did not successfully open those specific records. A query limited to PACER and the CAFC docket for "4,894,366," plus a Unified Patents caselist search for the patent number, is the right next step — I just could not complete it.
  3. Do not treat the absence above as a legal conclusion. "No litigation found" is a search‑result statement, not a representation about the world.

Confidence: High that the cases listed in the table involve patents other than '366 (the patents‑in‑suit are stated in the quoted documents). Low/uncertain as to whether any '366 enforcement action exists but was not indexed or not reachable in my searches. If you want, I can retry with narrower queries aimed at the Unified Patents caselist, CourtListener/RECAP, and the CAFC docket specifically for the number 4894366.

Generated 9/30/2026, 10:41:31 PM

Proceedings on file (0)

All PTAB activity →

AIA trial proceedings (IPR / PGR / CBM) filed at the USPTO Patent Trial and Appeal Board against this patent. Sourced from the USPTO Open Data Portal and refreshed every six hours; each proceeding number deep-links to the PTAB E2E docket.

No PTAB proceedings on file. This patent has not been challenged via IPR, PGR, or CBM. The absence is itself a signal — well-asserted patents eventually attract IPRs. The LLM analysis below may surface filings the ODP feed hasn’t indexed yet.

PTAB challenges

AIA trial proceedings at the USPTO Patent Trial and Appeal Board — IPR, PGR, and CBM. Petitioners, judge panels, claim-level invalidation outcomes from Final Written Decisions, and Federal Circuit appeals. The single most important defensive datapoint after litigation history.

✓ Generated

I'll verify the structured data against live sources before reporting.

Let me run a few more targeted checks before concluding.

PTAB / AIA Trial Proceedings — US 4,894,366

Proceedings overview

Total AIA trial proceedings on file: 0. The USPTO Open Data Portal returns no IPR, PGR, or CBM proceedings for US 4,894,366 (confirmed against Google Patents' proceeding/litigation record at https://patents.google.com/patent/US4894366/en, which lists only ordinary § 8/§ 16 assignment records and continuation-family priorities — no PTAB trials), and independent web searching found no PTAB petition, institution decision, Final Written Decision, or Federal Circuit appeal directed at this patent. The bottom-line defensive posture is therefore not "hardened by surviving IPRs" and not "claims canceled by the Board" — it is the much stronger posture that no AIA challenge was ever possible on this patent, because it expired on 2008-04-08, four years before the AIA trial regime existed. Any demand letter asserting US 4,894,366 today should be treated as a red flag about the sender, not as a validity problem for you.

I want to be explicit about the evidentiary limits here: I could not open PTAB E2E (https://ptacts.uspto.gov/ptabweb) directly in this session, so my conclusion rests on (a) the structured ODP block you supplied, (b) the Google Patents proceeding record, and (c) negative web-search results. If you need a belt-and-suspenders confirmation, run the patent number through PTAB E2E and the PTAB "Patent Trial and Appeal Board End-to-End" search; I expect the same null result.


Why there are no proceedings (and why that is structural, not coincidental)

This is not a case of "the patent avoided attack." It is a case of the attack vehicle never existing during the patent's life. Four independent gates all close:

  1. IPR didn't exist until 2012-09-16. Inter partes review was created by the America Invents Act and applies only to petitions filed on or after that date. The '366 patent had already been expired for over four years by then.
  2. The patent expired 2008-04-08. Google Patents records the legal status as "Expired – Lifetime" with an adjusted expiration of 2008-04-08 (filing date 1985-11-20; § 154(b) adjustment plus Hatch-Waxman term restoration following 1994 Prograf approval). The background literature confirms this: "The '366 patent has now expired, and at least four companies have launched generic versions of Prograf®."
  3. PGR unavailable. Post-grant review reaches only patents subject to first-inventor-to-file, i.e., effective filing dates on or after 2013-03-16. The '366 patent's priority is 1984-12-03.
  4. CBM unavailable. Covered business method review is limited to claims practicing a "financial product or service" — not a macrolide immunosuppressant.

A patent that issued 1990-01-16 and expired 2008-04-08 simply never overlapped with any AIA trial window. Note also that IPR can technically be filed against an expired patent (to clear past damages), but only during 2012–2008, which is impossible.


Related events that a defendant will see in the record (none are PTAB proceedings)

These are frequently confused with PTAB activity because they involve the same patent family, the same owner, and high-stakes validity-flavored disputes. None is an AIA trial.

  • In re Prograf Antitrust Litigation, MDL No. 1:11-md-02242-RWZ (D. Mass.) — pay-for-delay / citizen-petition antitrust MDL arising from generic tacrolimus entry. This is the source of the "speculative claim that [Astellas] may lose goodwill… if a generic product should fail" language in Astellas's briefs. Not a validity proceeding.
  • Astellas Pharma US, Inc. v. FDA, 642 F. Supp. 2d 10 (D.D.C. 2009) (No. 1:09-cv-01511-RBW) — Astellas's APA challenge to FDA's denial of its Prograf citizen petition and approval of Sandoz's tacrolimus ANDA. The court denied the TRO/PI, holding Astellas "ha[d] not demonstrated a wrongful[]" approval and that "the public interest… w[ould] be served by permitting generic competition." This is a regulatory/APA case, not a patent case.
  • Post-2008 Prograf follow-on litigation (e.g., Veloxis/Sun Pharma tacrolimus consent judgments) concerns different patents — extended-release formulation and method patents like US 10,166,190 / 11,123,331 / 11,419,823. Do not let an opposing party conflate those with the '366 compound patent.

Strategic summary

Claim status on US 4,894,366: NONE canceled, NONE sustained — because no claim was ever adjudicated by the Board. All claims remain as issued in 1990, but the entire patent is expired and unenforceable prospectively. Per the Vietnamese regulatory filing that examined the patent for Prograf registration (spotting the patent's own disclosure at page 17, lines 5–25), claim 5 is the claim that establishes protection for the tacrolimus active ingredient. I flag this as secondary, non-UPTO sourcing — the claim text is not in the patent copy supplied to me, so treat "claim 5 = tacrolimus" as a lead to verify against the issued claims, not as a settled fact.

Estoppel landscape: § 315(e)(2) estoppel is irrelevant here — there are no petitioners and no instituted trials, so no estoppel attaches to anyone. Conversely, no prior-art ground has been "used up" by anyone. If (hypothetically) you needed to invalidate the '366 claims in a district court or ITC proceeding, the full universe of § 102/§ 103 art remains available to you, including the FR-900520/FR-900523/FR-900525 and Streptomyces tsukubaensis disclosures in the patent's own priority chain (GB 8430455, GB 8502869, GB 8508420). That ground is academically well-trodden and, in practice, unnecessary given expiration.

Pattern signals:

  • No repeat petitioner — there is no petitioner at all.
  • No PTAB appeal by the owner — the patent owner never appeared before the Board on this patent.
  • No defensive aggregator — no Unified Patents (or similar) filing; Unified did not exist in its current form before the '366 patent expired, and it targets live, asserted patents.
  • Owner: original assignee Fujisawa Pharmaceutical Co., Ltd.; current assignee Astellas Pharma Inc. (post-2005 merger record, per the ODP assignment chain). The apparent "Yamanouchi Pharmaceutical Co., Ltd." parenthetical in the Google Patents merger record appears to be an artifact of the assignment-record metadata; the operative current assignee is Astellas Pharma Inc.

Recommended next steps

1. If you are a defendant being asserted against US 4,894,366 today, the limitation defense is dispositive — lead with it, not with PTAB history.

The patent expired 2008-04-08. Under 35 U.S.C. § 286, a patent owner can recover damages only for infringement occurring within the six years before the complaint is filed. All possible infringing acts on this patent necessarily predate its 2008-04-08 expiration. Therefore any infringement action filed after 2014-04-08 is time-barred in its entirety as to this patent. Practically, that means:

  • Ask for the filing date on any complaint invoking the '366 patent. If it postdates 2014-04-08, move to dismiss under § 286 with a one-page chart showing expiration + the six-year bar.
  • If a demand letter (rather than a complaint) cites the '366 patent, the sender is either unaware the patent expired 18 years ago or is using it as a scare tactic. Do not pay a license based on it.
  • If the demand letter cites other Astellas/Veloxis tacrolimus patents (formulation, ER-dosage-form, method-of-use), those are live — get a separate FTO analysis. Do not assume the '366's expiration clears the whole field.

2. If someone represents to you that this patent was "upheld in IPR," that statement is false. There is no Final Written Decision, no institution decision, no petition, and no CAFC appeal to link to — the absence is itself the finding. Request the proceeding number; they will not have one.

3. Do not rely on this memo as a substitute for a docket pull. Confirm on PTAB E2E (https://ptacts.uspto.gov/ptabweb) and on the Google Patents litigation/assignment tabs for https://patents.google.com/patent/US4894366/en that the proceeding list is empty, and pull the actual issued claims from USPTO PatentCenter to confirm the claim numbering (including whether claim 5 is the tacrolimus compound claim, as the foreign regulatory record suggests).

4. Coverage note on my confidence. High confidence in the zero-proceedings finding: it follows from the ODP structured data, the 2008-04-08 adjusted expiration, and the 2012/2013 statutory start dates for IPR/PGR. Moderate confidence in the claim-5-equals-tacrolimus point: sourced to a Vietnamese marketing-authorization review, not to the USPTO claim set, which was not in the materials provided to me. I have not verified the six-year § 286 application against the specifics of any actual pleading, because none was supplied.

Generated 9/30/2026, 10:41:40 PM

Ownership chain (2)

Asserters network →

Structured records extracted from the assignment-history narrative below. Each entity links to its full ownership-network profile.

  1. ? · recorded 1989-08-08 · Assignment

    GOTO, TOSHIO; HATANAKA, HIROSHI; KINO, TOHRU; OKUHARA, MASAKUNI; TANAKA, HIROKAZUFujisawa Pharmaceutical Co., Ltd.

    acquisition

  2. 2005-04-01 · recorded 2005-09-15 · reel 016976/0186 · Merger

    Fujisawa Pharmaceutical Co., Ltd.Astellas Pharma Inc.

    internal reorg

Assignment history

Inventors, original assignee, and the chain of ownership recorded with the USPTO — including the correspondent attorney who recorded each assignment, since shell-LLC chains often share one repeat-player attorney even when the entity names look unrelated. Surfaces NPE / patent-troll patterns: shell-entity transfers, known asserters in the chain, repeat correspondent fingerprints, pre-litigation assignments, and bankruptcy fire-sales.

✓ Generated

I'll research the assignment records and ownership history before drafting.

Let me dig into the assignment record specifics and any litigation involving this patent.

Found a possible reel/frame reference. Let me verify it and look for the 1989 record.

US 4,894,366 — "Tricyclo Compounds, a Process for Their Production and a Pharmaceutical Composition Containing the Same"

Source of record: Google Patents legal events for US4894366A (https://patents.google.com/patent/US4894366/en), cross-checked against an INPADOC-derived applicant listing (JAICI reference document, https://www.jaici.or.jp/application/files/6216/5354/9742/ref-inpadoc09.pdf), Astellas Pharma merger filings (astellas.com), and the In re Prograf MDL record. I was not able to execute a live query against USPTO Assignment Center (https://assignmentcenter.uspto.gov/ — search by patent number 4894366); the correspondent-of-record fields for the recorded entries below are therefore not retrievable from the sources I could reach. Where I could not confirm a field, I say so rather than fill it in.


Inventors

# Inventor Employer at filing (determinable)
1 Masakuni Okuhara Fujisawa Pharmaceutical Co., Ltd.
2 Hirokazu Tanaka Fujisawa Pharmaceutical Co., Ltd.
3 Toshio Goto Fujisawa Pharmaceutical Co., Ltd.
4 Tohru Kino Fujisawa Pharmaceutical Co., Ltd.
5 Hiroshi Hatanaka Fujisawa Pharmaceutical Co., Ltd.
  • The employer attribution rests on the 1989 recorded assignment (all five named as assignors, "ASSIGNMENT OF ASSIGNORS INTEREST," assignee Fujisawa Pharmaceutical Co., Ltd.), not merely on the face of the patent. The working location is corroborated by the specification: the producing strain Streptomyces tsukubaensis No. 9993 was isolated from soil collected at Toyosato-cho, Tsukuba-gun, Ibaraki Prefecture, Japan, and deposited as FERM BP-927; the companion organism Streptomyces hygroscopicus subsp. yakushimaensis No. 7238 was deposited as FERM BP-928.
  • Pattern check — all inventors departing within 12 months of filing: no evidence of this. The 1989 record captures a clean 100% inventor-to-assignee chain (all five), which is the normal signature of a corporate R&D team, not a pre-fire-sale exodus. I found no public record of any inventor's departure from Fujisawa in the relevant window, and I do not infer one. Post-1989 employment histories of these inventors are not determinable from the sources retrieved.

Original assignee

Fujisawa Pharmaceutical Co., Ltd. (3-4-7 Doshomachi, Chuo-ku, Osaka, Japan) — as printed on the issued patent and per the 1989 recorded assignment.

  • Primary line of business: prescription ("ethical") pharmaceutical R&D, manufacturing, and marketing; also medical supplies/systems and home-care business. Founded December 1930; capital ¥38,594–38,589 million as of 2003/2004 (per Astellas merger disclosure documents).
  • Product embodying the claims: Yes. Claim 5 of the patent is the compound 17-allyl-1,14-dihydroxy-12-[2-(4-hydroxy-3-methoxycyclohexyl)-1-methylvinyl]-23,25-dimethoxy-13,19,21,27-tetramethyl-11,28-dioxa-4-azatricyclo[22.3.1.0⁴,⁹]octacos-18-ene-2,3,10,16-tetraone — i.e., tacrolimus (FK-506). Fujisawa commercialised tacrolimus as Prograf (transplant immunosuppression) and Protopic (topical, atopic dermatitis), beginning with the Japanese launch in the 1990s.
  • Current status: operating — but no longer exists as a standalone entity. Fujisawa agreed to merge with Yamanouchi Pharmaceutical Co., Ltd. (announced 24 Feb 2004; structure: Yamanouchi surviving, Fujisawa dissolved; effective 1 April 2005), with the surviving company renamed Astellas Pharma Inc. All Fujisawa assets, including this patent, passed to the surviving corporation. Astellas is not in bankruptcy, is not dissolved, and remains a listed global pharmaceutical company (Prograf, Protopic, Astagraf XL, Xtandi, Padcev, etc.). A later-created U.S. subsidiary, Astellas US LLC, appears as co-plaintiff in tacrolimus-family litigation.

Assignment timeline

The Assignment Center record for this patent is thin — two events over ~16 years — and both are housekeeping rather than monetisation. Details as indexed:

  • Recorded 1989-08-08 — (execution date not exposed in the Google Patents legal-events index; reel/frame not shown in the indexed record)

    • Conveyance: Assignment of assignors' interest
    • Assignor: All five inventors — GOTO, TOSHIO; HATANAKA, HIROSHI; KINO, TOHRU; OKUHARA, MASAKUNI; TANAKA, HIROKAZU
    • Assignee: Fujisawa Pharmaceutical Co., Ltd.
    • Correspondent: Not retrievable. The Google Patents legal-events index does not expose the correspondent field, and I could not query Assignment Center directly. No recurrence finding is possible or asserted.
    • Context: Ordinary inventor-to-employer assignment perfecting title in the operating company — acquisition, not a transfer to an asserter.
  • Executed 2005-04-01 / recorded 2005-09-15 — Reel 016976/0186 (this reel/frame is reported in an INPADOC-derived applicant listing hosted by JAICI; I could not verify it against the Assignment Center image, and Google Patents indexes the same merger event under a later recording date of 2005-12-19 — treat the reel/frame and the exact recording date as unconfirmed)

    • Conveyance: Merger / change of name (Yamanouchi surviving, Fujisawa dissolved, surviving entity renamed Astellas Pharma Inc.)
    • Assignor: Fujisawa Pharmaceutical Co., Ltd.
    • Assignee: Astellas Pharma Inc. (Google Patents renders the assignee as "Astellas Pharma Inc. (formerly Yamanouchi Pharmaceutical Co., Ltd.)")
    • Correspondent: Not retrievable from the sources reached. Recording of a Japanese parent-subsidiary merger of this kind is typically handled by in-house IP counsel or a single outside firm; no recurrence can be shown on one data point, and I am not treating a single appearance as a signal.
    • Context: Internal reorganisation / merger of equals — not a sale, not a securitisation, not a transfer to an asserter.

Note on adjacent, non-assignment entries (do not mistake for ownership transfers): the 1992-06-18, 1995-05-x, 1996-12-03, 1998-05-26, 1999-10-01, 2000-11-27, 2002-09-20, 2003-04-x and 2004-11-09 entries on the Google Patents page are priority claims by later continuations/divisionals (US 5,254,562; 5,266,692; 5,624,842; 5,496,727; 5,565,559; 5,830,717; 6,028,097; 6,201,005; 6,482,845; and later publications) — intra-family patent prosecution, not conveyances. Likewise, the Janssen-Cilag Ltd reference in Vietnamese regulatory filings is a licence/authorisation arrangement with Astellas, not a recorded assignment; I found no recorded assignment to Janssen-Cilag.

No bankruptcy, securitisation, security-interest, release, or correction records were found for this patent.


Timeline diagram

timeline
    title Ownership of US 4894366
    1984 : Priority date Dec 3 1984
         : FK506 strains isolated in Japan
    1985 : US application filed Nov 20 1985
    1989 : Inventors assign to Fujisawa
    1990 : Patent issued Jan 16 1990
    2005 : Fujisawa merged into Astellas
         : Merger recorded at USPTO
    2008 : Patent term ends Apr 8 2008

NPE / troll-pattern signals

  1. Shell-entity transfer — not present. The only post-issuance transfer is to Astellas Pharma Inc., the surviving corporation of a merger of two operating pharmaceutical manufacturers (executed 2005-04-01; reel 016976/0186 as reported). Astellas sells products embodying claim 5 (Prograf, Protopic, Astagraf XL). No "IP / Patents / Licensing / Holdings / Ventures" suffix, no Delaware or Texas single-member LLC, no registered-agent-service address appears anywhere in the chain.

  2. Known asserter in the chain — not present. Neither Fujisawa Pharmaceutical Co., Ltd. nor Astellas Pharma Inc. matches any entry on the Acacia / Marathon / Intellectual Ventures / IPNav / Wi-LAN / Conversant / Vringo / Pendrell / Innovatio / Round Rock / Spangenberg rosters, and neither appears in the Unified Patents or RPX high-frequency-plaintiff directories on the evidence retrieved. Astellas is a defendant-side name in the space, appearing as an antitrust defendant in In re Prograf (MDL 1:11-md-02242-RWZ, D. Mass.) — the opposite of an NPE posture.

  3. Repeat correspondent across the chain — unclear / not assessable. With only two recorded links, a recurrence test cannot produce a meaningful finding even if the correspondent fields were known, and in any event I could not retrieve the correspondent of record for either entry — that field requires a direct Assignment Center pull, which I could not perform. I am explicitly not making a finding here. Repeating correspondent names for the sake of filling the row would be fabrication.

  4. Cascading transfers — not present. Two events, ~16 years apart, both tied to corporate structure (1989 title perfecting; 2005 merger). There is no <24-month chain of successive LLC-to-LLC conveyances, and no shared-correspondent or common-principal pattern to point at.

  5. Pre-litigation transfer — not present. The 2005 merger predates any publicly identified tacrolimus assertion by five years or more, and it was driven by a publicly announced merger of equals (agreement announced 24 Feb 2004), not by litigation timing. Astellas's tacrolimus-family suits identified in the record — Astellas US LLC et al. v. Nycomed US Inc. (D.N.J., filed 27 Oct 2010, asserting US 5,665,727 and US 5,385,907 on Protopic) and Astellas US LLC et al. v. Actavis Elizabeth LLC (1:14-cv-01246, D. Del., filed 29 Sept 2014, asserting US 6,440,458; 6,576,259; 6,884,433; 8,551,522 on Astagraf XL) — involve different patents, and I found no assertion of US 4,894,366 itself, which is unsurprising given its term ended 2008-04-08.

  6. Bankruptcy fire-sale — not present. Fujisawa was solvent and merged as a going concern into Yamanouchi (1 April 2005). No Chapter 7/11 proceeding, no §363 sale, no patent auction.

  7. Privateering — not present. Astellas litigates in its own name and through its own U.S. affiliate (Astellas US LLC as co-plaintiff); there is no transfer to a third-party NPE asserting on its behalf, and no SEC or Patent Progress / EFF coverage of such an arrangement connected to this patent.

  8. Defensive aggregator — not present. The chain does not terminate at RPX, AST, LOT Network, Unified Patents, or OIN. It terminates at an operating pharmaceutical company.

Additional relevant fact for any assertion analysis: the patent's adjusted expiration is 2008-04-08 (Google Patents legal status: "Expired – Lifetime"), i.e. roughly 17 years from the 1990-01-16 issue date plus patent term extension for tacrolimus. The asset has been in the public domain for well over a decade, which removes most NPE incentive regardless of chain structure.


Verdict

Operating-company assertion.

The chain never leaves the innovator: the five inventors assigned their interest to Fujisawa Pharmaceutical Co., Ltd. (recorded 1989-08-08), and the only subsequent conveyance is Fujisawa's merger into Astellas Pharma Inc. (executed 2005-04-01; reel 016976/0186 as reported by an INPADOC-derived listing, also indexed by Google Patents at 2005-12-19). Astellas is a going-concern pharmaceutical manufacturer that ships tacrolimus — the very compound of claim 5 — as Prograf, Protopic, and Astagraf XL, and it has asserted tacrolimus-family patents against generic competitors in its own name (Astellas v. Nycomed, 2010; Astellas v. Actavis Elizabeth, 2014). None of the eight NPE signals is present, and the two that require data I could not obtain — correspondent recurrence and inventor-departure timing — are reported here as not assessable rather than as findings. The one material qualifier is that US 4,894,366 itself expired 2008-04-08 and I found no suit asserting it specifically, so this is an operating-company chain in an expired patent, not a live assertion campaign.

Verify at: https://assignmentcenter.uspto.gov/ (query patent number 4894366; correspondent-of-record and exact reel/frame fields are best read from the recorded documents there, which I could not reach) — alternate index: https://assignment.uspto.gov/patent/index.html.

Generated 9/30/2026, 10:42:03 PM

Prior art

Earlier patents, publications, and products that may anticipate or render the claims unpatentable.

✓ Generated

I'll search for the actual prior-art citations listed on the '366 patent rather than relying on memory, since the "References Cited" tables weren't included in the specification dump I was given.

The general searches didn't surface the '366 patent's own front-page "References Cited" list. Let me target the Justia/FPO records, which reproduce that table.

Scope, sourcing, and identifier handling

Identifier, read literally: 4894366 = US 4,894,366 A. No substitution was made.

Two things I must state up front, because they bound the reliability of what follows:

  1. I could not complete a direct USPTO/PatentCenter query. My available tool is general web search; I hit the tool-call limit before reaching the USPTO record directly. The "References Cited" data below is taken from the FreePatentsOnline mirror of the granted patent (freepatentsonline.com/4894366.html), which reproduces the printed front page. Treat this as the granted-patent citation list, not as a USPTO-API extract.
  2. The identifier collision is real and I did not auto-correct it. A search for the literal string "4894366" returns JP4894366B2 — a Konica Minolta "blur correction device and optical apparatus" (liquid-lens image stabilization) — which is an entirely unrelated document. I am reporting only US 4,894,366.

One housekeeping flag: the earlier sections of this analysis were dated inconsistently relative to this task (they reference a 2026-09-30 present date and a June 2026 CAFC calendar; this task states April 26, 2026). Nothing in this prior-art answer turns on that date, but I note the discrepancy rather than silently reconciling it.


The "References Cited" of US 4,894,366 (backward citations = the prior art of record)

The retrieved front-page excerpt shows two U.S. patent documents and five "Other References." I report them exactly as reproduced:

U.S. Patent Documents

# Full citation Issue date Class Brief description
A US 3,244,592 — Arai, "Ascomycin and process for its production" 1966-04-05 424/115 The U.S. patent counterpart to the discovery of ascomycin, the antifungal/immunosuppressant macrolactam.
B US 4,212,881 — Sasaki et al., "Streptovaricin C derivatives" 1980-07-15 540/456 Derivatives of streptovaricin C, an ansamycin (macrolide-type) antibiotic. Structurally a different chemotype from the tricyclo/FK compounds.

Other References (non-patent literature)

# Full citation Date Brief description
C Arai et al., J. Antibiotics, vol. 15, pp. 231–232 1962 Primary printed publication disclosing ascomycin.
D J. A. Findlay, Canadian Journal of Chemistry, vol. 58, pp. 579–590 1980 Natural-products/structural chemistry paper (content not verifiable in my retrieval — see caveat).
E Korzybski, Antibiotics — Origin, Nature and Properties, vol. II 1978 Reference treatise on antibiotics (background).
F Chemical Abstracts, vol. 90, No. 3, p. 635, Abstract No. 22856u 1979 Abstract of unspecified subject matter.
G Chemical Abstracts, vol. 97, No. 21, p. 793, col. 1, Abstract No. 182063f 1982 Abstract of unspecified subject matter.

Completeness caveat (important): the retrieved excerpt of the FPO "Referenced Cited" table shows the two U.S. patent rows above and then proceeds to "Other References." It is possible the printed front page contains additional U.S. rows that were truncated in the snippet I received. I cannot certify that list A–B is exhaustive; verifying the total count requires the granted printed patent or PatentCenter. I will not invent rows to fill the gap.


§ 102 analysis — which claims each reference potentially anticipates

Framework: the '366 patent is pre-AIA (filed 1985-11-20, priority 1984-12-03), so the operative provisions are pre-AIA §102(a)/(b) and §103. All five NPL items and both U.S. patents predate the Dec. 1984 priority by more than a year → §102(b) art (patents/printed publications) if they disclose the claimed subject matter.

1. Ascomycin art — US 3,244,592 (A) and Arai et al. 1962 (C) — the most relevant prior art

These two are the same disclosure in patent and journal form. This is the reference set that explains the proviso in claim 1.

  • Ascomycin is FK-520 / FR-900520: R¹ = R² = OH, R³ = ethyl, n = 2, single bond.
  • Claim 1's proviso expressly excludes the case "when R¹ and R² are each hydroxy, n = 2 and the bond is single, then R³ must be methyl, propyl or allyl" — i.e., it carves out exactly the ascomycin species.
  • Therefore: absent the proviso, Arai would anticipate claim 1 under §102(b). With the proviso, US 3,244,592/Arai do not anticipate claim 1 as issued. The proviso is, in substance, a §102(b) carve-out, and it is the single most probative fact in this file about why claim 1 looks the way it does.
  • Claims potentially anticipated by this reference: any claim drawn to the R³ = ethyl member of the genus. On my reading of the claim set as previously reconstructed, claim 1 is written around it, and claim 9 (FR-900523, R³ = methyl) is a different species not disclosed by ascomycin. Flag: whether claim 2 (the second compound genus with its own Markush R¹ list) also carries the same proviso is something I could not confirm from the retrieved text — if claim 2 lacks a proviso, ascomycin (R¹ = OH, which is within claim 2's R¹ list) would be a live §102(b) anticipation of claim 2. Verify the granted claim 2 text before relying on this.

2. US 4,212,881 — Sasaki, streptovaricin C derivatives (B)

  • Different chemotype (streptovaricin/ansamycin vs. the 23-membered tricyclo macrolactam). The cited art does not disclose the tricyclic ring system, the pipecolate-derived nitrogen, or the FK substitution pattern.
  • Its likely citation purpose is background for derivatizing/protecting a macrolide antibiotic — i.e., evidentiary support that acylating a macrolide hydroxyl to form an ester was conventional, which bears on the "protected hydroxy / acyloxy" members of the R¹ Markush lists and the ester species claims (claims 6–8 in the earlier reconstruction).
  • §102: No anticipation of any claim. Its relevance, if any, is §103 (obviousness of the O-protected/acylated derivatives), not §102.

3. Findlay, Can. J. Chem. 58, 579–590 (1980) (D)

  • I could not verify the subject matter of this paper in my retrieval, and I will not guess at it. If it discloses a tricyclo/macrolide structure relevant to the FK nucleus, its §102/§103 weight would need to be assessed from the paper itself; on the record available to me I cannot assert that it anticipates any claim. Explicit non-assertion, not a negative finding.

4. Korzybski, Antibiotics, vol. II (1978) (E)

  • A general treatise. To the extent it merely names/characterizes ascomycin (or immunomycin/FK-520-type antibiotics), it is cumulative of Arai (C). A general treatise normally goes to §102(b) for what it expressly describes, but it rarely enables a genus. Potentially relevant only to the ascomycin species, cumulatively with C.

5. Chemical Abstracts 22856u (1979) and 182063f (1982) (F, G)

  • Content unverified. Chemical Abstract citations are typically relied on during prosecution as corroborating or structural-art references. I cannot map either abstract to a specific claim without its text, and I decline to speculate about what they disclose. No anticipation asserted.

Bottom line on anticipation

Claim (per prior reconstruction) Closest cited prior art §102 outcome
Claim 1 (compound genus) US 3,244,592 / Arai 1962 (ascomycin, R³ = ethyl) Not anticipated — but only because of the proviso; the reference anticipates the carved-out species itself
Claim 2 (second compound genus) US 3,244,592 / Arai 1962 Unresolved — turns on whether claim 2 carries the same proviso. Verify.
Claim 5 (tacrolimus / FR-900506) None of the cited art Not anticipated. The art of record contains no disclosure of the allyl (R³ = allyl) species; novelty here rests on the isolation of FR-900506 and the deposited strains
Claim 9 (FR-900523, R³ = methyl) None of the cited art Not anticipated (ascomycin is the ethyl congener)
Claim 12 (immunosuppressive/antimicrobial composition) None for the novel species Not anticipated as to the new actives; composition-type breadth may raise §103 issues
Acetate/derivative species (claims 6–8) and the "protected hydroxy" Markush members US 4,212,881 §103 territory (conventional macrolide O-acylation), not §102

Most relevant prior art, plain answer: US 3,244,592 (Arai, ascomycin), together with its 1962 J. Antibiotics publication. It is the closest and most legally consequential reference because (a) it discloses the FR-900520/ascomycin congener, and (b) the claim-1 proviso is demonstrably drafted to avoid it. Everything else in the cited list is either a different chemotype (B) or of unverified evidentiary weight (D–G).


Forward citations (brief, for completeness)

The phrase "each patent citation for 4894366" could also be read as patents citing the '366 patent. Those are numerous but are not prior art (they post-date it) — e.g., US 5,955,469; US 5,693,648; US 5,880,280 all list "4,894,366 | January 16, 1990 | Okuhara et al." in their Referenced Cited tables. I mention them only to distinguish clearly: forward citations are irrelevant to a §102 anticipation analysis of the '366 claims. Also note that US 4,929,611 and US 4,956,352 — which appear alongside '366 in various family listings — are its own continuations/siblings, not prior art.


What I could not do / what to verify before filing anything

  1. Confirm the complete "References Cited" list on the granted front page — my excerpt may be truncated.
  2. Confirm whether claim 2 carries the claim-1 proviso. This is the single highest-value verification item, because it decides whether ascomycin is a §102 anticipation of claim 2.
  3. Pull the actual text of Findlay (1980) and the two Chemical Abstracts citations (22856u; 182063f) before assigning them any §102/§103 weight. I have deliberately asserted nothing about their content.
  4. Direct USPTO/PatentCenter query for the '366 file wrapper (prosecution history / examiner's citations of record) — my tools could not complete this, and the prosecution history is where the ascomycin rejection and the proviso amendment will actually appear.

Confidence: High that US 3,244,592 + Arai 1962 (ascomycin) is the most relevant cited prior art and that the claim-1 proviso is a carve-out directed at it. Medium on the claim-2/claim-1 proviso question. Low/none on the content-dependent references (D–G), for which I have said so rather than fabricate.

Sources: FreePatentsOnline US 4,894,366 (References Cited) — https://www.freepatentsonline.com/4894366.html ; Google Patents US4894366A — https://patents.google.com/patent/US4894366/en ; Justia US 5,955,469 / 5,693,648 / 5,880,280 (forward-citation tables) — https://patents.justia.com/patent/[5955469](/patent/5955469) , https://patents.justia.com/patent/5693648 , https://patents.justia.com/patent/5880280 ; EP 0647625 A1 search report (family linkage of JP 61-148181 / EP 0 184 162 / US 4,894,366) — https://patentimages.storage.googleapis.com/4b/2a/5d/373f0e8ae8a6eb/EP0647625A1.pdf .

Generated 9/30/2026, 10:42:19 PM

Obviousness

Combinations of prior art that suggest the claimed invention would have been obvious under 35 U.S.C. § 103.

✓ Generated

I'll ground this in actual prior-art references rather than speculating. Let me note upfront that the provided page's "Prior Art" section contains only keyword metadata (hydroxy, compound, substance, allyl, liters) — no reference list — so I'll retrieve the art that the record itself points to.

Strong results. Let me now pull the actual claim set and the face-of-patent references cited, plus any known validity challenge to this family.

I've hit my tool-call ceiling, so the following rests on the authoritative patent text you supplied plus the references I retrieved this session. Two threshold flags before the analysis.


§ 103 Obviousness Analysis — US 4,894,366

Threshold note 1: what the "Prior Art" section of this page actually contains

You asked me to use "the results from the Prior Art section of this page." The supplied Google Patents page has no prior-art reference list. Its only prior-art content is the machine-generated keyword string:

"Prior art keywords: hydroxy · compound · substance · allyl · liters"

Those are extracted index terms, not citations. Google Patents does not publish a front-page "References Cited" list for this record in the material provided. So I cannot report "what the examiner cited" from this page — doing so would be fabrication. Instead I have reconstructed the operative prior-art universe from (a) the patent's own disclosure, (b) references that later patents in this family expressly identify as the background art, and (c) independent searches this session. Each reference is labeled with its provenance and my confidence.

Threshold note 2 — date inconsistency: the current task states April 26, 2026; the system header states 2026-09-30; the previously generated sections ran searches dated 2026-09-24. Nothing in the analysis turns on the difference, but I flag it rather than silently harmonize.


1. Legal frame

US 4,894,366 has an effective filing date of 1985-11-20 (priority 1984-12-03). It is therefore governed by pre-AIA 35 U.S.C. § 103(a) (the AIA first-inventor-to-file provisions apply only to applications filed on or after 2013-03-16). Prior art must predate the priority date (or, for § 102(a)/(e), the invention date/filing date). The controlling framework is Graham v. John Deere Co., 383 U.S. 1 (1966) — scope and content of the prior art, differences, level of ordinary skill, and objective indicia — as refined by KSR Int'l Co. v. Teleflex Inc., 550 U.S. 398 (2007).

Two doctrines dominate a chemical-genus § 103 case and both cut both ways here:

  • In re Dillon, 919 F.2d 688 (Fed. Cir. 1990) (en banc): structural similarity to a prior-art compound creates a prima facie case of obviousness only where the prior art also teaches that the compounds have the same or a similar utility, or provides "adequate support" for the expectation of similar properties.
  • In re Kratz, 592 F.2d 1169 (CCPA 1979) and In re Deuel, 51 F.3d 1552 (Fed. Cir. 1995): a purified natural product, and a specific compound isolated from a previously unexploited source, is not rendered obvious merely because the genus of producing organisms or a class of compounds was known.

Those two doctrines are the fulcrum of everything below.


2. The prior-art universe as of 1984-12-03

Ref. Date / status What it discloses Provenance & confidence
US 3,244,592 (Arai) — "Ascomycin and process for its production"; filed 1963-05-01, JP priority 1962-06-09, issued 1966-04-05 § 102(b) art (18+ yrs before priority) Fermentation of Streptomyces hygroscopicus var. ascomyceticus (ATCC 14891) to produce ascomycin; recovery (acetone extraction, carbon-Celite, silica gel); property data — end-absorption UV, Rf, colour reactions, antifungal spectrum (active vs. filamentous fungi; inactive vs. bacteria and Candida). No chemical structure. Verified this session: Google Patents; PDF. High confidence.
Arai, Koyama, Suenaga & Honda, J. Antibiotics Ser. A 15(6):231 (1962) Printed publication, § 102(b) Companion disclosure of ascomycin — same properties, produced from Streptomyces KK317. Verified: J-Stage PDF. High confidence.
Morisaki & Arai, J. Antibiotics 45(1):126 (1992) — "Identity of immunosuppressant FR-900520 with ascomycin" Post-dates the filing. Not prior art; used here as evidence Proves ascomycin ≡ FR-900520, i.e. the R³ = ethyl member of the '366 genus. Verified: J-Stage PDF. High confidence on content; post-date noted.
Rapamycin — US 3,929,992 (Vezina/Kudelski/Sehgal, Ayerst); Martel, Kilcius & Galet, Can. J. Physiol. Pharmacol. 55:48–51 (1977) 1975 / 1977 — § 102(b) Fermentation macrolide from Streptomyces hygroscopicus; Martel 1977 reports inhibition of the immune response by rapamycin, a macrolide antifungal. Martel reference verified in the citation list reproduced in JP 5307546 B2 (retrieved this session). US 3,929,992 number is from my background knowledge — not verified this session; treat as moderate confidence.
Cyclosporin A (Sandoz; FDA-approved 1983) § 102(b) The reference immunosuppressant; known nephrotoxicity. General knowledge; not independently verified this session.
EP 0,184,162 (Fujisawa) Filed 1985-11-30, published 1986-06-11, priority = the same GB 8430455 / 8502869 / 8508420 chain Same invention, same inventive entity, same priority. Verified: Google Patents. Not prior art to '366.
EP 0,323,865 (Merck) — immunomycin/ascomycin as immunosuppressant Published 1989-07-12 Teaches that ascomycin/immunomycin is immunosuppressive. Verified: EPO PDF. Post-dates priority by 4½ years — NOT prior art.
Routine organic chemistry — silyl ethers (TBDMS/TBDPS), methylthiomethyl ethers via DMSO/Ac₂O (Pummerer-type), acylations, Swern-type oxidation (DMSO + Ac₂O), catalytic hydrogenation Long pre-dating 1984 Standard protecting-group / functional-group transformations, all mechanistically described in the '366 specification itself. High confidence (textbook); cited as the Graham "level of ordinary skill" baseline, not as a specific reference.

The single most important fact in the whole analysis: the difference between the closest prior art (ascomycin/FR-900520, C₄₃H₆₉NO₁₂) and the commercially dispositive compound (tacrolimus/FR-900506, C₄₄H₆₉NO₁₂) is one methylene unit plus one degree of unsaturation — ethyl → allyl at C-21. That is a textbook In re Dillon / In re Papesch homologous-substitution fact pattern. Everything else is a wash.


3. Ground-by-ground construction of the challenger's § 103 case

Ground 1 — Arai '592 alone against claim 1: anticipation-adjacent, defeated by the proviso

Arai '592 discloses a compound with R¹ = OH, R² = OH, R³ = ethyl, n = 2, single bond — exactly the species excluded by the claim-1 proviso. That is not a coincidence; the proviso is a drafting response to Arai. So:

  • Arai standing alone does not read on claim 1, because the proviso removes precisely the disclosed species.
  • But the proviso is the tell. It concedes that everything else in claim 1's Markush box is new only because ascomycin's structure was unknown in 1964 and the allyl/propyl/methyl/n=1 variants were never isolated. A challenger frames this as: "The patentee has claimed the genus minus the one species the art already had."

Ground 2 — Arai '592 + the "congener family" rationale → claims 1, 2, 9

Combination: Arai '592 (ascomycin, and the fact that S. hygroscopicus elaborates it as one member of a macrolide mixture) + the '366 specification's own demonstration that the same broad organism group yields a homologous series — FR-900520 (ethyl), FR-900523 (methyl), FR-900506 (allyl), FR-900525 (n = 1).

Motivation to combine: KSR's "predictable variation" prong. Fermentation chemists routinely expect actino-mycete broths to contain congener families differing by one carbon in a side chain; isolating and screening the family is a standard, rewarded exercise. A PHOSITA seeking new antibiotics from Streptomyces would have been motivated to fractionate ascomycin-producing broths and screen adjacent silica-gel fractions for homologous analogues.

Reasonable expectation of success: Moderate for obtaining the compounds (the chemistry is routine). Weak for the claimed utility, for the reason in § 4 below.

Verdict: This is the strongest § 103 ground — but only against the broad genus claims (1 and 2), and only if the "similar utility" prong is met. It is a poor ground against claim 5.

Ground 3 — Arai '592 + rapamycin/Martel + cyclosporine → the "immunosuppressant motivation" ground (claims 1, 2, 5, 9, 12)

Combination:

  1. Arai '592 / Arai 1962 — closest structural scaffold (the 23-membered macrolide lactone).
  2. US 3,929,992 + Martel 1977 — a Streptomyces hygroscopicus macrolide (rapamycin) is an immunosuppressant, not merely an antifungal. This supplies the missing "similar utility" teaching that In re Dillon requires.
  3. Cyclosporin A (1983) — supplies the design need/market pressure: the field had a working immunosuppressant with severe nephrotoxicity, and the art was actively searching for macrolide replacements.

Motivation to combine, stated for the record: (a) both ascomycin and rapamycin are fermentation products of the same organism group (S. hygroscopicus); (b) rapamycin taught that this genus produces immunosuppressive macrolides; (c) cyclosporine's toxicity created an articulated need for better immunosuppressants; (d) therefore a PHOSITA would have had reason to screen ascomycin and its congeners for immunosuppression and to isolate further congeners from Streptomyces cultures. Under KSR's "finite number of identified, predictable solutions," the challenger argues the candidate space was small and the screening routine.

This is the ground on which claim 5 (tacrolimus) would be attacked. Note that the attacker needs step (2) specifically: without a teaching that a structurally similar macrolide is immunosuppressive, In re Dillon is not satisfied and ground 3 collapses into ground 2.

Ground 4 — Any of the above + routine chemistry → claims 3–4, 6–8, 10, 11

Once the parent macrolide is assumed in the art, the derivative claims fall by In re Aller, 220 F.2d 454 (CCPA 1955) and the ordinary "obvious to try" line:

  • Claims 6–8 (acetates of tacrolimus): acetylation of secondary hydroxyls is the single most routine transformation in the art; the specification itself performs it with Ac₂O/DMSO.
  • Claims 3–4, 10 (silyl, alkylthio-alkyl, alkanoyl, arenesulfonyl variants): selection from a finite, known menu of protecting groups whose behaviour was fully predictable.
  • Claim 1's "protected hydroxy" Markush is functionally claimed ("pharmaceutically acceptable protected hydroxy"), which invites the argument that the drafter swept in every conventional protecting group rather than an inventive selection.

Caveat that gutters this ground: derivative claims are only obvious if the parent compound is prior art (or itself obvious). Because claim 5's compound was not in the art, this ground cannot independently reach claim 5's esters — it is parasitic on ground 3 succeeding.

Ground 5 — Claim 12 (composition)

A composition claim reciting "an effective amount" of a compound + "a pharmaceutically acceptable carrier" adds essentially nothing over the compound once the compound is assumed obvious; carriers and dosing (0.01–1000 mg/day; tablets, capsules, suppositories, solutions) are conventional per the specification's own text. But claim 12 inherits the fate of claim 1 — if the compound is non-obvious, the composition is too.


4. Why each ground likely fails — the non-obviousness core

This is where the analysis becomes an honest one rather than a brief for one side. There are four independent, load-bearing facts that the challenger's grounds do not overcome.

(a) The "similar utility" prong of In re Dillon is not met on the priority date. In 1962–1984, ascomycin was known only as an antifungal (Arai 1962/1966). Its immunosuppressive activity was first published by Merck in EP 0,323,865, published 1989-07-12 — four and a half years after the '366 priority date. The immunosuppressive utility of rapamycin (Martel 1977) is real, but rapamycin is a structurally remote 31-membered macrolide; a reasonable expectation that an ascomycin congener would share rapamycin's immunology is precisely the kind of "generalised, open-ended" suggestion In re O'Farrell, 853 F.2d 894 (Fed. Cir. 1988) held insufficient. Ground 3's linchpin therefore fails.

(b) Ascomycin's structure was unknown for ~30 years. Arai characterized it by Rf, UV end-absorption, colour reactions and antifungal spectrum — no structure. The identity ascomycin ≡ FR-900520 was not established until Morisaki & Arai (1992). A PHOSITA in 1984 could not have perceived "ethyl → allyl on the pipecolic-acid-containing tricyclo skeleton," because she could not draw the skeleton. In re Dillon structural similarity presupposes that the similarity is apparent from the art; here it was not. This is the single most powerful non-obviousness fact.

(c) The compounds came from a previously unexploited biological source. FR-900506 was isolated from Streptomyces tsukubaensis No. 9993 (FERM BP-927), and FR-900520/523 from S. hygroscopicus subsp. yakushimaensis No. 7238 (FERM BP-928) — both newly isolated strains, deposited 1984-10-05 and 1985-01-12. Neither was public art. In re Kratz and In re Deuel squarely hold that isolating a specific compound from an untapped source is not obvious merely because the genus was known. Grounds 2 and 3 both assume a PHOSITA would have found these compounds; the art gave no lead to these strains.

(d) Objective indicia (Graham factor 4) run strongly for the patentee.

  • 22-year dormancy. Ascomycin sat in the published art from 1962 to 1984 with no one recognizing it as immunosuppressive. In re Kratz treats exactly this kind of unexplained latency as evidence the recognition was not obvious.
  • Unexpected results. FK-506 was reported as orders of magnitude more potent than cyclosporine, and its FKBP-12/calcineurin mechanism was entirely unanticipated — again, not predictable from an antifungal Rf value.
  • Commercial success with nexus. PROGRAF (tacrolimus) is a blockbuster, and the regulatory record ties the active substance to claim 5.
  • Copying / follow-on rush. The enormous derivative literature (Merck, Sandoz, Fisons; EP 0,323,865; EP 0,356,399; EP 0,428,365; GB 2,245,891-A, etc.) shows competitors inverted after Fujisawa's disclosure, not before it.

Balance: Grounds 1–5 make a colorable § 103 case against the broad genus claims 1 and 2, and an easy case against the derivative claims 3–4, 6–8, 10, 11 — if the parent is assumed in the art. They make a weak case against claim 5 (tacrolimus) and therefore against claim 9 (FR-900523) and claim 12.


5. Bottom-line assessment

Claim Broadest plausible § 103 ground Realistic outcome
1 (genus) Arai '592 + S. hygroscopicus congener family (Ground 2), or + rapamycin/cyclosporine (Ground 3) Colorable. The proviso shows the genus was drawn around Arai; the utility-mismatch and unknown-structure defences are strong but the breadth of the Markush is the patentee's vulnerability.
2 (narrow genus) Arai '592 + congener family Colorable, slightly weaker — narrower Markush, same proviso rationale.
3–4, 6–8, 10, 11 (derivatives/species) Parent + routine acylation/silylation/oxidation (In re Aller) Strong for the challenger — but wholly parasitic. If the parent is non-obvious, these fall with it.
9 (FR-900523, R³ = methyl) Ground 2/3 homologous substitution (ethyl → methyl) Moderate. Closest to ascomycin of the surviving species.
5 (tacrolimus/FR-900506) Ground 3 (immunosuppressant motivation) Weak. Homologation is real, but the utility was unknown (EP 0,323,865 is post-date), the structure was undrawn in the art, and the strain was new. This claim survives.
12 (composition) Inherent in claim 1 Inherits claim 1.

Honest caveats I am obligated to state:

  1. I could not retrieve the granted claim set. The total claim count and the presence of any process claims (the title recites "a process for their production," and the specification sets out five synthetic Processes plus fermentation) remain unverified — the earlier section flagged this and I could not close it this session. If process claims exist, they attract a separate § 103 attack keyed to the routine fermentation-and-isolation art (submerged aerobic culture, Diaion HP-20, acid-silica chromatography) — all conventional — combined with a novel strain that is not in the art.
  2. US 3,929,992 (rapamycin) and the cyclosporine patent number are from background knowledge, unverified this session. Martel 1977 is verified via the citation list reproduced in JP 5307546 B2.
  3. EP 0,323,865 and the whole derivative literature post-date the priority date and are legally unavailable as § 103 art — they appear here only to demonstrate the competitive field inverted after the invention. Any party citing them as art against '366 is making a date error.
  4. No litigation, PTAB, or IPR record exists for this patent (per the previously generated sections), so this analysis is ex ante — no examiner rejection, Board decision, or court has ever adjudicated these grounds.

Sources

One-line answer: The best § 103 combinations are (i) Arai US 3,244,592 + the S. hygroscopicus congener-family rationale against the broad genus claims, and (ii) Arai + rapamycin/Martel 1977 + cyclosporine against the genus and the "immunosuppressant" species — but both stumble on In re Dillon's similar-utility requirement, because ascomycin's immunosuppressive utility was not published until 1989, and neither reaches claim 5 (tacrolimus), whose structure was undrawn in the art and whose producing strain was new.

Generated 9/30/2026, 10:43:05 PM

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