I BIOTECHNOLOGY : 1982 UPDATE Digitized by the Internet Archive in 2012 with funding from LYRASIS Members and Sloan Foundation http://archive.org/details/biotechnology19800unit BIOTECHNOLOGY : 1982 UPDATE "tRO a 1983 publication from the - /^ OFFICE OF TECHNOLOGY ASSESSMENT AND FORECAST U.S. DEPARTMENT OF COMMERCE Malcolm Baldrige, Secretary Patent and Trademark Office Gerald J. Mossinghoff, Commissioner Office of Technology Assessment and Forecast John F. Terapane, Director First published: July, 1982 Reprinted with additional data: September, 1983 TABLE OF CONTENTS Page INTRODUCTION i EXPLANATION OF DATA AND FORMAT „ 5 LEGAL DECISIONS AFFECTING BIOTECHNOLOGY PATENTING 9 PROFILES 13 MUTATION /GENETIC ENGINEERING ENZYMES PER SE 47 IMMOBILIZED ENZYMES 111 TISSUE CULTURE 157 STARCH HYDROLY SATES 185 AMINO ACIDS 211 1982 UPDATE 237 APPENDIX A - EXPLANATORY NOTES 279 APPENDIX B - PUBLICATIONS BY THE OFFICE OF TECHNOLOGY 283 ASSESSMENT AND FORECAST APPENDIX C - CUSTOM PATENT REPORTS FROM THE OFFICE OF 289 TECHNOLOGY ASSESSMENT AND FORECAST APPENDIX D - ACKNOWLEDGMENTS 297 INTRODUCTION Background The patent system has long been recognized as an incentive for innovation in the U.S. free-enterprise system. Often overlooked, however, is a second great benefit of the patent system: the enormous, continually expanding patent file. This file includes more than four million distinct U.S. patents. These patents are classified and cross-referenced among the approximately 113,000 categories of technology that make up the U.S. Patent Classification System. Along with similarly categorized foreign patents and other technical publications, they make up a collection totaling over 25 million documents — a collection which grows by over half a million documents annually. Patent law requirements for a full disclosure of the invention (. which is then published as part of a patent grant) have resulted in a unique assemblage of technological information. The patent file embodies the most comprehensive collection of technical information of its kind in the world. This information is presented in a manner such that nearly every significant development in almost all technical fields flows in a natural time-series sequence. It virtually welcomes monitoring and analysis. In its own unique way, this file represents a national resource. The Patent and Trademark Office (PTO) recognizes the heavy responsibilities not only to preserve, maintain, and improve the file, but, as well, to maximize its use for the greatest public benefit. As part of the effort to discharge this latter responsibility, the PTO established its technol- ogy assessment and forecast program in 1971. In its most general terms, the mission of the program is to stimulate and enhance the use and usability of the patent file and to assemble, analyze and make available meaningful data about the file. In carrying out this mission, the Office of Technology Assessment and Forecast (OTAF), which administers the program, has assembled and built a master data base covering all U.S. patents. This data base has been used to support the preparation of OTAF publications (see Appendix B) and OTAF's custom report services (see Appendix C). PATENT PROFILES In an effort to continually provide data in a form which is useful and convenient for the interested reader, OTAF initiated a new publication series in December 1979 — PATENT PROFILES. Each publication deals with a specific technological area, and for a given period of time surveys the patent activity of that area. PATENT PROFILES provides many different kinds of information about a par- ticular area of the patent file and assembles this information in a for- mat which enables the user to easily extract the information needed. Thus, interested users, both technically and non-technically oriented, from the public and private sectors will be able to gain insight into the who, what and where of the patent activity in a technology and, perhaps, be able to discern the direction in which the technology is headed. The objective of these publications is to increase the awareness and use of the U.S. patent file as a prime technological information resource so that the file may contribute more fully to the knowledge from which fu- ture inventors and innovators draw and upon which corporate and public policy planners rely. About This Publication PATENT PROFILES - Biotechnology was published in July 1982. It included statistics for patent activity from January 1963 through December 1981, and the front pages of patents published from January 1 - June 1, 1982. In response to requests for updated statistics and additional copies of the publication, OTAF presents this revised edition. PATENT PROFILES - Biotechnology; 1982 Update contains all of the information that was in the first edition.* It also has a new section — " 1982 UPDATE " — with data about the origin and ownership of patents granted during 1982 and statistical summaries of the patent activity from 1963-1982. "Biotechnology" refers to the wide variety of industrial processes which involve biological systems. It includes the agricultural and fermenta- tion industries, which for centuries have used microorganisms in the pro- duction of foods and alcoholic beverages. The pharmaceutical industry, which for many years used microorganisms to produce desired products, has recently begun to benefit from major technical advances in genetic manip- ulation. Mining, agriculture, oil recovery and pollution control are but a few of the industries which will be influenced as the use of custom- designed microorganisms increases. This publication does not attempt to include all aspects of the technol- ogy. Instead, it focuses on six particular areas of the U.S. patent file which relate to enzymes and microorganisms, their use in the synthesis of certain products, and their preparation or modification. Mutation/Genetic Engineering, an emerging technology in its own right, is an area within Biotechnology which will ultimately impact on many indus- tries by allowing man to carry out processes which were previously impos- sible or impractical. The lure of increased profits due to decreasing costs, fewer pollutants, and decreased energy use contributes to its popularity. Genetic Engineering refers to laboratory processes which are *Please note that the Explanation of Data and Format was not revised to include 1982 data. used to alter the hereditary apparatus of a living cell. The altered cells are then used in industrial processes to produce more or different chemicals or to perform completely new functions.* An increase in the U.S. patent activity in the area of Mutation/Genetic Engineering may be attributed to changes in PTO policy in view of the Supreme Court decision of Diamond v. Chakrabarty in 1980.** Prior to the decision, the PTO had not allowed patent claims drawn to live microorgan- isms. Many applications containing such claims were held in suspension pending the decision. This practice, which resulted in a delay in the issuance of U.S. patents, may have also fostered a reluctance to file patent applications in the United States. Therefore, as a complement to the profile of U.S. patent activity, the Mutation/Genetic Engineering section also includes a listing of selected foreign patent documents which were published between August 1980 and March 1982. The" listing includes the publication date, assignee or inventor, and a brief descrip- tion of the subject matter. Enzymes have been described as the basic tools of biotechnology. They function as regenerative catalysts which permit the use of milder reac- tion conditions to produce desired products in an environmentally safe manner. Immobilized Enzymes, i.e., those bound to a carrier, offer addi- tional economic advantages. They are more stable when exposed to changes in reaction conditions, and binding the enzymes often makes them insolu- ble. These factors ensure that reclamation of these expensive materials is more easily accomplished. Tissue Culture refers to processes and apparatus which permit the growth and maintenance of cell lines. The techniques are of extreme importance in medical fields where they are used to produce vaccines, steroids, an- tibodies, and skin and organ transplant materials. The expression "Starch Hydro ly sates" is used in this publication to refer to processes using enzymes or microorganisms to produce monosaccharides. An example of such a process is the hydrolysis of starch to sugar. The profitable production of high fructose corn syrup using immobilized en- zymes, instead of acid hydrolysis, is another example which illustrates the commercial benefits of such processes. Amino Acids, the building blocks of protein, are also useful as food sup- plements. They may be produced from low cost carbohydrate and hydrocar- bon feedstocks by the use of microorganisms and enzymes. These biologi- cal processes have advantages over- chemical processes in that desirable or active forms of the compounds are produced. *0ffice of Technology Assessment, U.S. Congress, Impacts of Applied Ge- netics; Micro-Organisms, Plants, and Animals , (Washington, DC: Govern- ment Printing Office, 1981). p. ix. **See the discussion of legal decisions affecting Biotechnology patent- ing, page 9. EXPLANATION OF DATA AND FORMAT This report presents profiles of patenting* in 6 areas of Biotechnology. Each of the profiles is divided into six parts (1, 2A, 2B, 2C, 2D, 3): Part 1 - Activity Summary Part 1, the first page of each profile, identifies the area which is ex- amined, lists the pertinent U.S. Patent Classif ication(s) involved, and graphically illustrates patent activity (across a designated 10-year span) in two ways: (1) by the patent grant date; (2) by the granted pat- ents' application filing date. The latter method presents what is often considered a more useful measurement tool since application filing dates are closer in time to the actual development of the technology disclosed in the patent and are independent of PTO production variance.** The rel- ative growth in the particular technological area, as well as levels of involvement by foreign residents, corporations, and government agencies, expressed as a percentage of recent U.S. patent activity, are presented in the "Activity Indices" (defined below). njklliSjllllJ U.S. PATENT CLASSIFICATION SCOPE OF TECHNOLOGY ACTIVITY INDICES - DEFINED % GROWTH: the number of patents issued in the period 1979- 1981 divided by the total number of patents in the period 1972-1981. (Average for all technologies - 26.1%) % FOREIGN: the number of patents issued to residents of for- eign countries in the period 1979-1981 divided by total num- ber of patents issued in this period. (Average for all tech- nologies = 39.6%) % CORPORATE OWNED: the number of 1979-1981 patents assigned at time of issue to U.S. or foreign non-government organiza- tions — mainly corporations — divided by the total number of patents issued in this period. (Average for all technolo- gies = 75.7%) % GOVERNMENT OWNED: the number of 1979-1981 patents assigned at time of issue to the U.S. or a foreign government divided by total number of patents issued in this period. (Average for all technologies = 2.4%) % U.S. OWNED OF FOREIGN: the number of 1979-1981 patents with a foreign resident inventor that are assigned to a U.S. organization, divided by the number of patents with a foreign resident inventor in these years. (Average for all technolo- gies - 7.3%) * U.S. Patents only **See further explanation in Appendix A. Part 2A - Patent Activity by Date Part 2A of each profile shows in tabular form the data relied upon in con- structing the charts in Part 1. The first table shows the yearly distri- bution of patents by the date of the patent grant, while the second table redistributes these data based on the application filing date of the pat- ents. The usefulness of this latter data distri- bution is mentioned in the explanation of Part 1 , and further detailed in Appendix A. CZECHOSLOVAKIA Part 2B - Organizational Patenting - Ranked Part 2B of each profile provides a list of as- signees* ranked by the number of patents, in the technology, to which they held title at the time of the patent grant. The listing is limited by de- signation of a "cut-off" number (e.g., "2 or more patents"). This list identifies the assignees (mostly corporations), which received the most patents in the profiled technology during 1969- 1981. EXAMPLE , a HYDROLYSATES PATENTS ASSIGNEES WITH 2 OR MORE PATENTS (1969-19 CPC INTERNATIONAL INC. HAYASHIBARA CO. STANDARD BRANDS INC. A. E. STALEY MANUFACTURING P. J. REYNOLDS TOBACCO CO. AGENCE NATIONALE DE VALORIi ANHEUSER-BUSCH, INC. NOVO INDUSTRI A/S MILES LABORATORIES INC. KYOWA HAKKO KOGYO CO., LTD. CORNING GLASS WORKS A BIOCHEMICAL LABS. INC. DE LA RECHERCHE ( PENICK ■ FORD LTD. GLAXO LABORATORIES LTD. TANABE SEIYAKU CO. LTD. TAKEDA CHEMICAL INDUSTRIES LTD. CHEVRON RESEARCH CO. BAXTER TRAVENOL LABS., INC. NATIONAL DISTILLERS AND CHEMICAL CORP. GRAIN PROCESSING CORPORATION MEIJI SEIKA KAISHA LTD. PURDUE RESEARCH FOUNDATION GREAT WESTERN SUGAR CO. DENKI KAGAKU KOGYO K.K. BAYER AKTIENGESELLSCHAFT BATTELLE MEMORIAL INSTITUTE RESEARCH CORPORATION RIKAGAKU, KENKYUSHO MITSUBISHI CHEMICAL INDUSTRIES LTD. UNITED STATES OF AMERICA (DEPT. OF ENERGY) UNITED STATES OF AMERICA (ARMY) DOW CHEMICAL CO. ICI AMERICAS INC. ROHM + HAAS CO. ROQUETTE FRERES *See definition in Appendix A. Part 2C - Organizational Patenting - Alpha Listing Part 2C of each profile also covers assigned patenting during the period 1969-1981. Assignees are listed alphabetically fol- lowed by a numerical listing of their patents with titles. This section provides valuable information to potential entre- preneurs, competitors and those in need of technological know- how by identifying corporate actors in the field. Inclusion of patent titles further defines the subject technology. IMMOBILIZED ENZYMES- PART 2C . E. STALEY MANUFACTURE ENZYME IMM08ILI METHOD FOR DETERMINING A METHOD FOR DETERMINING T Part 2D - Inventors of Individually Owned Patents In Part 2D, inventor names, full addresses, patent numbers and titles are given for unassigned 1975-1981 patents; inventor names, city and state, patent numbers and titles are given for patents assigned to individuals. This information facilitates identification of the apparently unaffili- ated or "independent inventor" participants in the technology. Standard, two character codes are used to designate U.S. states and foreign coun- tries. While the meaning of state codes should be obvious, the foreign country codes may not. Consequently, those appearing in the Part 2D listing are defined in Appendix A. EXAMPLE ^^— IMMOBILIZED ENZYMES - PART 2D „„„.. „., _ ,„,„, INVENTOR MAJID IMMUNOASSAY FOR ALLERGIC DISORDERS STREET 19 EDGEMONT PL. CITY 4M519B - METHOD OF IMMOBILIZATION OF BIOLOGICALLY ctiv^organIc'subs 'ances INCLUDING COLUMBUS BARRETT COVALEN M. JAMES TLY BOUNO BIOLOGICAL SUBSTANCES TO 1500 SPRING GARD N ST. IN RADIOA PHILADEL At the end of Part 2D is a list of those patents (1963-1981) with neither assignment nor inventor information in the data base. Essentially, this encompasses all patenting in the period 1963-1968, and unassigned patents from 1969 through 1974. Titles are included for most patents granted subsequent to January, 1969. PATENTS 1/63-12/8 1) WITH NEITHER ASSIGNMENT NOR INVENTOR INFORMATION IN THE DATA BASE M395U MEMBRANE 'CAL^REAGE t'paRTKL ODE SYSTEM AND METHOD WITH ELECTROCHEMICAL COMPENSATION ERIALS COVALENTLY BONDED THERETO seoleis PROCESS F 3R PROOUCI G 6-AMINO PENCILLANIC ACID 3850798 £55 J SEPARATI S 4 B0UN0 C T AL ENDOCRINE PANCREAS 3419471 3419472 3095307 3126324 3139390 31674B5 Part 3 - Front Pages of Selected Patents Part 3 of each profile includes the front, or summary, page of selected patents. In addition to providing bibliographic information, such as the inventor, assignee, filing date, and patent classification, the front page of each patent includes a brief abstract describing the invention, and, where appropriate, a representative drawings illustrating the inven- tion. Part 3 of each profile includes the front page of patents issued between January and April, 1982 (for all profiles except Mutation/ Genetic Engi- neering which contains patents through June 1, 1982), as well as other patents of interest in the subject area. Also included is a list of the selected patents in order of appearance. Foreign Patent Documents Following Part 3 of the Mutation/Genetic Engineering profile is a listing of recent foreign patent documents in the International Patent Classifi- cation entitled "Genetic Engineering." The documents included were pub- lished between August, 1980 and March, 1982, and are those for which no corresponding U.S. patent document presently exists. Tables showing doc- ument number, origin, date, subject matter and assignee or inventor begin on page 43. PATENTS INCLUDED IN THE PROFILES Patent activity profiles are normally generated by first identifying key Patent and Trademark Office classifications, i.e., those entirely or sub- stantially pertinent to the technology of interest. All the patents in these classifications are then included in the profile. This procedure results, in most cases, with the inclusion of the majority of patents re- levant to the technology and few non-relevant patents. While one can never be sure of the absolute completeness or "purity" of any subset in a collection as large and varied as the patent file, it is felt that the patent file portions selected for review in this publication include pat- ents representative of the overall trends in the defined areas and essen- tially exclude patents which are not relevant to the subject technology. Important Note It should also be noted that in 1979, the Patent and Trademark Office issued substantially fewer patents than normal (about 49,000 as compared to about 66,000 in 1978) due to a lack of funds to print patents. There- fore, while the 1979 patent grant data may be low, the decrease should not be attributed to a fall-off in technological activity. LEGAL DECISIONS AFFECTING BIOTECHNOLOGY PATENTING Background Prior to the decision of the Supreme Court in Diamond v. Chakrabarty ! , the policy of the U.S. Patent and Trademark Office (PTO) had been to allow patent protection for processes using microorganisms and for prod- ucts containing microorganisms in combination with inert carriers or other elements. The PTO had not, however, issued patents which claimed microorganisms, per se. The PTO felt that new life forms were not statu- tory subject matter as defined by 35 USC 101, and that only legislative action, such as the Plant Patent Act of 1930 and the Plant Variety Pro- tection Act of 1970, would permit enlarging the scope of patent protec- tion. This view was enforced by the decision of the Court of Customs and Patent Appeals (CCPA) in In re Mancy 2 , which held patentable a process for using a novel strain of microorganism. It presumed "without decid- ing," that claims to the novel microorganism would not be patentable since the microorganism was a product of nature, and therefore not new, as required by patent law. Chakrabarty In 1972, Chakrabarty, a microbiologist working for the General Electric Company, filed a patent application, claiming "a bacterium from the genus Pseudomonas containing at least two stable energy-generating plasmids, each of said plasmids providing a separate hydrocarbon degradative path- way." This human-made, genetically engineered bacterium was described as capable of breaking down multiple components of crude oil. Because of this property, possessed by no naturally occuring bacteria, Chakrabarty believed his invention to have significant value for the treatment of oil spills. Chakrabarty' s claims were of three types: first, the method of producing the bacteria; second, the bacteria combined with a carrier material; and third, the bacteria themselves. The patent examiner allowed the claims falling into the first two categories, but rejected claims for the bacte- ria. His decision was based on two grounds: that microorganisms are "products of nature," and, that as living things, they are not patentable subject matter under 35 USC 101. Chakrabarty appealed the rejection of these claims to the Patent Office Board of Appeals. The Board reversed the Examiner on the first ground, concluding that the new bacteria were not products of nature, because Pseudomonas bacteria containing two or more different energy-generating plasmids are not naturally occurring. However, they affirmed on the second ground of rejection. Relying on the legislative history of the 1 Diamond v. Chakrabarty , 100 S.Ct. 2204, 206 USPQ 193 (1980). 2 In re Mancy , 499 F. 2d 1289, 182 USPQ 303 (1974). 1930 Plant Patent Act, in which Congress extended patent protection to certain asexually reproduced plants, the Board concluded that Section 101 was not intended to cover living things such as these laboratory created microorgani sms . Chakrabarty then appealed to the CCPA^, where, by a divided vote, the de- cision was reversed. The CCPA cited its prior decision, In re Bergy , ^ which held that the fact that microorganisms are alive is without legal significance for purposes of the patent law. Judge Rich, writing for the majority, proclaimed that it is not necessary that Congress shall have forseen a new field of technology or useful art to bring it within the scope of 35 USC 101. The Government appealed to the Supreme Court, which held that a live, human-made microorganism is patentable subject matter under 35 USC 101. The Supreme Court based its decision on the fact that Congress, in choos- ing such expansive terms in 35 USC 101 as "manufacture" and "composition of matter" modified by the comprehensive "any," contemplated that the patent laws should be given wide scope. The Court cited the Committee Reports accompanying the 1952 Patent Act as evidence that Congress in- tended statutory subject matter to "include anything under the sun that is made by man." Chief Justice Burger, writing for the majority, stated that "the patentee has produced a new bacterium with markedly different characteristics from any found in nature and one having potential for significant utility. His discovery is not nature's handiwork, but his own; accordingly it is patentable subject matter under section 101." PTO Practice after Chakrabarty After the Chakrabarty decision, the PTO issued an announcement that pat- ent applications including claims to microorganisms which had been under suspension would now be examined. Assuming that the products involved were the result of human intervention and wer i not products of nature, such claims would not be rejected under 35 U£C 101 as directed to unpat- entable subject matter. The PTO clarified the issue in the Manual of Patent Examining Procedure (MPEP) Section 2105, where it issued guidell neo as to how 35 USC 101 would be interpreted. The MPEP reviewed the Supreme Court statements set forth in the Chakrabarty opinion and concluded that (1) the Court did not limit its decision to genetically engineered living organisms, (2) the Court enunciated a very broad interpretation of "manufacture" and "compo- sition of matter" in Section 101, and (3) the Court set forth several tests for weighing whether patentable subject matter under Section 101 is present. Of the tests set forth by the Court the following are especial- ly noted as applying to biotechnology: 3ln re Chakrabarty , 571 F. 2d 40, 197 USPQ 72 (1978). A In re Bergy , 563 F. 2d 1031, 195 USPQ 344 (1977). See also In re Bergy , 596 F. 2d 952, 201 USPQ 352 (1979). "A nonnaturally occurring manufacture or composition of matter - a product of human ingenuity - having a distinctive name, character and use is patentable subject matter." "Production of articles for use from raw materials by giving these materials new forms, qualities, pro- perties or combinations whether by hand, labor or machinery is a manufacture under Section 101." Other PTO Requirements 35 U.S.C. 112 requires the inventor to set forth a written description of the invention in a manner to enable any person, skilled in the art to which it pertains, to make and use it. In patent applications where the claimed invention involves the use of a microorganism, a problem arises when the microorganism is neither known nor readily available to the pub- lic. In many cases, microorganisms are obtained from soil samples. Since soil samples are teaming with microbial life, it is impossible to find a match to the inventor's microorganism. A written description can- not sufficiently disclose how to obtain the microorganism from nature so as to satisfy the requirements under 35 U.S.C. 112. In response to this problem, the CCPA in In re Argoudelis ^ sanctioned the practice which provides that a culture of the microorganism be deposited in a United States depository before the application is filed. Following the decision, the PTO published guidelines in MPEP 608.01(p) which set forth the requirements necessary to provide an adequate disclosure of the microorganism in accordance with 35 USC 112. The guidelines require: 1) that the applicant, no later than the U.S. filing date of the application, make a deposit of the culture of the mi- croorganism in a depository affording permanence of the deposit and ready accessibility thereto by the public if a patent is granted; 2) that the deposit be referred to in the body of the specification as filed and be identified by deposit number, name, and address of the depository; and that the taxonomic description, to the extent available, be included in the specification; 3) that the applicant provide assurance, in the form of an averment under oath or a declaration, of the permanent availability of the culture to the public. 5ln re Argoudelis , 434 F. 2d 1390, 168 USPQ 99 (1970). MUTATION/GENETIC ENGINEERING This profile is directed to processes for producing a sta- ble, inheritable change in the genotype of an animal, a plant cell or a microorganism. This may be accomplished by artifi- cally inducing a structural change in a gene or by the in- corporation of genetic material from an outside source. The outside source may include chemically synthesized or modi- fied genes. Also included are methods of modifying plasmids by chemical or biochemical processes. PATENT ACTIVITY INCLUDED IN THIS PROFILE ARE ALL OF THE PATENTS FROM: Class 435, Subclass 172 AND SELECTED PATENTS FROM: Class 435, Subclasses 5, 6, 8, 89-91, 253, 820 Class 424, Subclasses 85, 117 ACTIVITY INDICES (1979-1981) GROWTH 44.8% FOREIGN SHARE 38.5% CORPORATE OWNED 80.8% GOVERNMENT OWNED 5.8% U.S. OWNED OF FOREIGN 10.0% BY PRTENT GRANT DATE 1972-1981 BY APPLICATION FILING DATE 1970-1979 Patents 40 -, U.S. ORIGIN FOREIGN ORIGIN Jbg jjjj J f| ) ff 1970 71 72 73 74 75 76 77 78 79 _i '-O'- '-cnoot^inr in cm — t- »- v a in u. a> *- in »- *- »- f) (<) ID ID ID o -- -- £ Z Z 3 a > O o 3 3 O O O O O 2 o O O ai O O _ z Z O O l/l • 2 z z Z Z D • > 3 ~ a 3 z z z o s w < 2 < c h- i-h o OmO o o o z - a 2 a > o - Z i-, q: a_io: s < -i> iL - □ o z z or 3 Z C3 O C3 dujc • 2 r < ~ at<<<(AZCZK owwwe: e> i/> c: < 2 3 w ■3m a Q. »- • o O O =) u. 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O LJJ < D LU a Mia o a hhmio j ai > in 23 MUTATION/ GENETIC ENGINEERING FRONT PAGES OF SELECTED PATENTS Jan. -June 1, 1982 Selected U.S. Patents (25) U.S. Patents (34) 4,328,209 4,276,282 4,237,224 4.332.898 4,275,163 4,196,265 4.332.900 4,278,766 4,133,875 4.332.901 4,275,157 4,237,228 4.332.899 4,273,875 4,115,197 4.332.892 4,259,446 4,189,426 4,332,897 4,271,145 4,172,764 4.332.893 4,264,731 3,966,707 4,326,029 4,259,444 4,082,613 4,331,589 4,263,403 4,080,261 4,329,448 4,262,090 4,064,011 4,331,764 4,264,737 4,072,574 4,318,987 4,172,124 4,001,080 4,321,325 4,256,832 4,278,765 4,320,195 4,224,408 4,277,564 4,324,860 4,283,489 4,311,797 4,276,380 4,318,929 4,285,929 4,315,852 4,190,495 4,318,930 4,322,497 4,322,499 4,313,938 4,316,962 4,309,503 PATENTS ARE LISTED IN ORDER OF APPEARANCE i"g'&!§ nil S 1 ! *»! i *'5ja 5 .5 2f r 9 & -a 3 S P. i o Z. S *"1S| 1 »-|1 < a E 1 1 £ « 1 .s "■! -gl J | * I II ll .sat s " - <-; - ! 5f;;t, "Jzg^=«2 £ 2 b B 9 ^. -a ■f § J ". 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LTD. 26 HAYASHIBARA CO. 26 BOEHRINGER MANNHEIM G.M.B.H. 23 BAYER AKTIENGESELLSCHAFT 22 EASTMAN KODAK CO. 21 AJINOMOTO COMPANY INC. 18 STANDARD BRANDS INC. 18 PROCTER & GAMBLE CO. 17 MONSANTO CO. 16 A.E. STALEY MANUFACTURING CO. 15 TOYO JOZO CO., LTD. 15 BAXTER TRAVENOL LABORATORIES, INC. 14 TAKEDA CHEMICAL INDUSTRIES, LTD. 14* AGENCE NATIONALE DE VALORISATION DE LA RECHERCHE (ANVAR) 13 KIKKOMAN SHOYU CO., LTD. 13 E.R. SQUIBB & SONS, INC. 10 GLAXO LABORATORIES LTD. 10 NOVO INDUSTRI A/S 10 IMPERIAL CHEMICAL INDUSTRIES LTD. 10 MERCK & CO. INC. 9 PABST BREWING CO. 9 RESEARCH CORP. 9 RIKAGAKU, KENKYUSHO 8 TANABE SEIYAKU CO. LTD. 8 SNAM PROGETTI S.P.A. 8 ABBOTT LABORATORIES 8 UNITED STATES OF AMERICA, AGRICULTURE 8 LEVER BROTHERS CO. 8 BEHRINGWERKE AKTIENGESELLSCHAFT 8 UPJOHN CO. 8* NOVO TERAPEUTISK LABORATORIUM A/S 7 R.J. REYNOLDS TOBACCO CO. 7 COLGATE-PALMOLIVE CO. 7 AKZONA INC. 7 GREEN CROSS CORP. 7* HAYASHIBARA BIOCHEMICAL LABORATORIES INC. 6 . UNIVERSITY OF ILLINOIS FOUNDATION 6 EXXON RESEARCH & ENGINEERING CO. 6 HOKKAIDO SUGAR CO., LTD. 6* MEIJI SEIKA KAISHA LTD. 6* AMANO PHARMACEUTICAL CO., LTD. *Composite Total. See Appendix A. 50 I >-> Jlrtt a. 3 < > uj > ajwuiiiioza ZIOOOO>-h> ^ Q 5 o u -> < o o o s or a z c u a. a. o x o a •-. z O 3 U o l. u "3 < . . . - a z z >-< a o c lOHHIt>.Oi - 3 or o h - £ 3 UJ U a z o o - j - - > z z - e a N Z Z Z " U < .02 uX**i->XX< i:i-ooaoi-o -UKQIDlliUJi- 0E330-OS- Drco>-«oroou._ o o uicaoc Z a a > o. a a jgcDS'-'Crz a o 3 O r >-• < o o 3 z «/> a a (TOO O •-■ 3 >-< OT -Ht-Wl I c < x s t- i- Oui>mZm H0N30S u. 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D < O - o < u. a: o U K Z J) o < a d i o _l o < j. a c o Cl h i-inmoor-^'-oiomtoooiiDi-oitoonoi c\|T--^iDmmin-^rMininm'-tnoinntDr- OCMOtNtDOinn^on'-OnincMn'-ior-t Z'-oominoioiooor-nuDttt^tinO'-int ud; ;z momoou juju._jozoq: £ OOOUJOCuC L ozaa.oo-a_ i O > - O C JZ-XOI-U.U.H - O (- >- ^ o -H < Z L- _| ,„ i-q:<- i- I O OUJXMOI-0< s/iaixizrrujat- i OZZixir-oiOntinr-. - OZi-hO>00"-"-— "- — '-C M O O O i/l i/l O O < uj UJ O O a u o I -i I- O O I- o x a a uj m uj a cl s: oj o in co oo oi o *■ OIIOJ O (- I- 2 O h .. .g o r- o oi o r lOoi'-icioiMininr 3 ID ID ID IDtDlDlDlDlDlOr- i ininoO'--'-c ENZYMES PER SE FRONT PAGES OF SELECTED PATENTS Jan-Apr 1982 Selected U.S. Patents (33) U.S. Patents (43) 4,323,651 4,317,883 4,202,941 4,268,632 4,326,029 4,317,882 4,216,292 4,275,160 4,325,832 4,318,846 4,211,842 4,220,722 4,326,033 4,313,938 4,228,241 4,191,613 4,323,647 4,315,988 4,229,540 4,235,969 4,323,649 4,315,002 4,229,538 4,212,945 4,322,496 4,316,955 4,234,691 4,275,166 4,321,363 4,310,628 4,273,874 4,237,231 4,318,990 4,311,791 4,238,566 4,243,752 4,321,324 4,311,790 4,237,230 4,205,130 4,320,151 4,312,943 4,229,539 4,205,129 4,321,323 4,309,502 4,258,134 4,194,067 4,318,980 4,310,625 4,255,519 4,189,350 4,318,983 4,309,505 4,245,051 4,250,262 4,318,982 4,310,626 4,275,163 4,250,263 4,318,989 4,310,624 4,275,162 4,252,902 4,317,881 4,266,031 4,264,738 4.259.446 4,235,970 4.259.447 4,232,124 4,245,050 4,228,240 4,268,631 4,241,185 4,250,261 PATENTS ARE LISTED IN ORDER OF APPEARANCE 90 .5J5 » fijiH! flffll 11*11 %|I§||!l|! i lllllil I j4|f if| s^ljlii 3 SsllISs WP£ ill I* Mil* iilii I 1 U J! 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PATENT ACTIVITY INCLUDED IN THIS PROFILE ARE ALL OF THE PATENTS FROM: Class 435, Subclasses 174-182 ACTIVITY INDICES (1979-1981) GROWTH 33.2% FOREIGN SHARE 54.2% CORPORATE OWNED 91.0% GOVERNMENT OWNED 5.2% U.S. OWNED OF FOREIGN 11.9% BY PATENT GRANT DATE 1972-1981 1972 73 74 75 76 77 78 79 80 81 BY APPLICATION PILING DATE 1970-1979 U.S. ORIGIN FOREIGN ORIGIN LI It lilii 1970 71 72 73 74 75 76 77 78 79 inOMSiDO'-iciou 4 *- *■ m •■- c- o if) a>o >-> < ij v> < Q > Z O ¥ -J to -J s > < _i a a o < < D a ►-. ID < ID I a a ►-< < a < Z I o h — to id in ct> cm 01 n O is cnoo — n in co id oj m cti cm *- '-W01 o (0 r- oidt o in O - o> ^ — ^ »- *■ O f ID 00 OJOWM'-' *- nvoi »- c o o n o <- ct> ct> O) - in u n in id c OCT)- - - a o >-i < a Z Z 3 a > o 3 3 O Q a o o z O O UJ O O i-i • Z z z • • > 3 - a 3 z z z a. t- •- o O UJ o ooo z a > d •-" z - o o z z a 3 z oooHa ooo en a. a. OOO Z • uj o t/> * < 2 ~uj 2 < uj 00 1- O 3 N < u. 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Z UJ < O i 1- H O < o Q (0 a.UlO z O Z < i» ►h h- in o wu« o IZorzoru.-iZ'* 0. a 1UIUhDO 3 HJQKC) I UJ m z ouiu-Qtooujo: o Of UJ o a o Z « t- < UJ Z> o z O I or u. or < > < a O t- o z < < joauu jiuco DC M a •-« o a -J < Z Q in 0> O H- UJ (X OUZO! UJ *- Z in x a I o HMOooooan m o C3~"U.ZZ«0- a UOh < Z -i < in a n a z l ZZuiOKI-_lh < 01 K O OKJllDIOtDMIO roro-^roOcNTfir) 132 IMMOBILIZED ENZYMES FRONT PAGES OF SELECTED PATENTS Jan-Apr 1982 Selected U.S. Patents (15) U.S. Patents (76) 4,323,650 4,269,941 4,254,218 4,242,219 4,326,031 4,218,363 4,182,655 4,234,681 4,324,858 4,263,400 4,247,643 4,191,810 4,327,181 4,273,873 4,247,642 4,275,159 4,320,194 4,210,723 4,208,482 4,204,041 4,321,324 4,146,432 4,205,127 4,066,512 4,321,323 4,246,351 4,195,128 4,039,382 4,321,327 4,229,536 4,177,038 4,102,745 4,318,988 4,210,722 4,224,411 4,184,919 4,318,990 4,121,974 4,090,919 4,279,998 4,321,141 4,251,632 4,245,064 4,271,269 4,310,554 4,179,337 4,246,349 4,048,018 4,317,879 4,205,128 4,251,631 4,268,423 4,317,810 4,266,026 4,246,350 4,195,127 4,312,946 4,264,732 4,206,286 4,200,690 4,193,845 4,217,415 4,200,692 4,276,381 4,176,006 4,226,937 4,188,263 4,209,390 4,193,982 4,252,899 4,138,290 4,144,131 4,138,292 4,167,446 3,980,521 4,258,133 4,281,065 3,989,597 4,250,260 4,152,210 4,272,617 4,260,680 4,229,537 4,226,938 4,273,865 4,282,315 3,950,222 4,259,445 4,253,844 4,248,969 4,110,164 PATENTS ARE LISTED IN ORDER OF APPEARANCE 133 z 8 * O £"r < -s s y 5a E a os6fe3X.3S 5. a 6- S J i! s!i™ l,lrfd " ?$* j "- o -a I | si !! 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If li**iU |J " 11*12 Jl fl F ft ill11kt jl 3ftf lillfl litis 'b still I Us fill llflil 111 IS litis ll^lhllil 155 "= E £ i =.E i c^ | II 111 I 111 ! W llll: 3* PU 8 1 la IS? mil , imi mi 111 fiilff s ill]'! Jlili! s8#ff*cf I I i 3 a « h c » e 2 n If 5 « II II] » S 2 I 1 I I . h < 15 dSZ 2 IS . . spills SMS-: P ■a ||S pP |tj[llt ^tfJtliU! in a si £ I % js § 1 "ill |I I |l SI I-: 1 h I: ii 1 13 1? H I |I i! 1 !i ail j- 1 it 1! 1 ii 156 TISSUE CULTURE This profile includes process- es, compositions and media for the in vitro propagation or maintenance of undifferenti- ated plant or animal cells, i.e., cell lines that are not organized tissue. The culture of cell lines may be on a surface or in suspension. Also included are apparatus adapted for the growth of differenti- ated or undifferentiated animal or plant cells, tissue or viruses. INCLUDED IN THIS PROFILE ARE ALL OF THE PATENTS FROM: Class 435, Subclasses 240, 241, 284, 285, 286 ACTIVITY INDICES (1979-1981) GROWTH 36.0% FOREIGN SHARE 24.7% CORPORATE OWNED 76.6% GOVERNMENT OWNED 9.1% U.S. OWNED OF FOREIGN 10.5% PRTENT RCTIVITY BY PRTENT GRRNT DRTE 1972-1981 BY RPPLICRTION FILING DRTE 1970-1979 U.S. ORIGIN FOREIGN ORIGIN 1970 71 72 73 74 75 76 77 78 79 _l -- ^ f- O CN 0> r~ cm — t- Ol Z - a in id o u b. O) o - id id in *- t- in >■- «- 2 « ¥ a _i _i Z a w a uj a < i/) •-> o C5 O D e>UJLJZ<-.o C5 O UiZ ONUJQai<> a z I- Z l/) z cn o < u> 01 a < Q in 00 O oo en Z Q Q UJ uiiuZ < Z Z 3 3 3 O D D O O UJ < • Z Z Z > • • > 3 - Q 3 o hi-ho O UJ O z a > o - z < «/> •-. o o z z a 3 z < ►-. o OOOmO o o o a a I < < H o a • • • uj Z • uj Zinu o < o i/i i/i i/i a owa < D M z . . . o w . o U < O • D 3 D u. UI3U. ^ o o o TISSUE CULTURE Organizational Patenting: Ranked NO. OF PATENTS ASSIGNEES WITH 2 OR MORE PATENTS (1969-1981) 19 MONSANTO CO. 16 MERCK & CO., INC. 10 MASSACHUSETTS INSTITUTE OF TECHNOLOGY 7 BURROUGHS WELLCOME CO. 6 UNITED STATES OF AMERICA, HEALTH, EDUCATION AND WELFARE 5 UNITED STATES OF AMERICA 4 HOFFMANN-LA ROCHE, INC. 4 OLYMPUS OPTICAL CO., LTD. 3 AB KABI 3 AMERICAN CYANAMID CO. 3 BEECHAM GROUP LTD. 3 CHEMAP AG 3 DOW CHEMICAL CO. 3 FLOW LABORATORIES, INC. 3 INSTRUMENTATION LABORATORY, INC. 3 MILES LABORATORIES INC. 3 NATIONAL RESEARCH DEVELOPMENT CORP. ^3 UNIVERSITY OF MINNESOTA, THE REGENTS OF 3 WISTAR INSTITUTE 2 ABBOTT LABORATORIES 2 AMERICAN HOME PRODUCTS CORP. 2 BECTON, DICKINSON AND CO. 2 CALIFORNIA INSTITUTE OF TECHNOLOGY 2 CORNELL RESEARCH FOUNDATION INC. 2 DATA PACKAGING CORP. 2 DUKE UNIVERSITY INC. 2 ELI LILLY AND CO. 2 GODO SHUSEI KABUSHIKI KAISHA 2 GTE LABORATORIES INC. 2 MAX-PLAN CK-GESELLSCHAFT ZUR FORDERUNG DER WIS SENS CHAFTEN E.V. 2 MICROBIOLOGICAL ASSOCIATES, INC. 2 RESEARCH CORP. 2 SLOAN-KETTERING INSTITUTE FOR CANCER RESEARCH 2 UNITED STATES OF AMERICA, NAVY 2 UPJOHN CO. 2 VIRTIS CO., INC. 2* INSTITUT ARMAND FRAPPIER *Composite Total. 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CM 00 L.ZI-L.OOH jaww^n HI < _l >BI- d a UJ Z CM -^ OuDujKmO CJ < O < CO CO o s o o a a d o a S — l/> D _i O or i- oj>dujojzo. uj z _i uj o a a. uj .-. a co r- >-. co oo O 3 U. z wo O h- l/> CM CM < t- o < -J (/> a 15 i UDN'- < o o or uj o. i i uj a. uj o i- a < a D. h- h- K O h- 5 _J a o. O oo hHUIIUZhZ uj 3 uj a to cm Q<£ZhSh or c_> or < o> cm O oo , , l 1 l l CM 2 CO CO 00"ht« co id O in l> ^ 10 00 0) »■ O) novn o> ■>- r- ^ oo 0) ro oo cm ^r in t-o><~c>(0 <0r~r~-'-ir>m in in i*- f» f» ^ !*■ r- oo co oo TISSUE CULTURE FRONT PAGES OF SELECTED PATENTS Jan- Apr 1982 Selected U.S. Patents (10) U.S. Patents (20) 4,317,886 4,247,646 4,201,845 4,321,330 4,259,449 4,198,482 4,323,555 4,241,187 4,184,916 4,326,027 4,242,460 4,184,922 4,326,026 4,228,242 4,228,243 4,326,034 4,238,568 4,198,483 4,310,630 4,224,413 4,266,032 4,316,962 4,220,725 4,186,253 4,311,798 4,208,483 4,254,226 4,317,882 4,203,801 4,264,739 PATENTS ARE LISTED IN ORDER OF APPEARANCE a s liilliiliiiifj fi js -3 8 -S 2 3 a 1 5 3 5 j3 fc JB „ R » a o 1 a 5 .! 8 |5S| i | a I § I U 1 1 "3 - J 1 1 1 M ^ > o : I % 1 3 1 j i 1 sISS 3 I „ § SP« ^ f f 3 a H S|S'rfS § "S^ -a S j?l3 ill*** I B SU du B |l'l 111 2lf Ejii. Hi 9 SilllllJl ! iiiuni i II? ' a, w id 111 i z *!? 5 id ; CD ^ V *\ ;= T /c\j 172 5K1H « ^-5™^= u? 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CD a a q a a U z < < < < < cc co UJ 3 cj o o o o Q 00 z < < £ UJ z z z £ M N £j N -J o z z 3 Z 2 z o 3 3 3 3 3 o o O O O a o o o O O O z z z z z o a z > > d a i-h a a CL acta > a or a a a < UJ a < < CO < < < Z I < o u a uuu o t- z a DC C5 o o o o o z D Q O O O H O O O O O I I III 3 < a o z o z ID 3 O 0- O 3 O I O < a uj 2 .- tOi- z a o o < < (J < 00 X Z 3 O O -I u <-"<»- 1 00 < o > t- I- -I z c 1 O uj uj u i- a s oo t-i CL O 1/ 3d:uji-u LUU.U1/ SI < 1/ Jh>JU — O CO c O u. C UJ Q 00 O Z Z UJ o < D Z oo m o c jlttHj O O < oo < uj o: I or J (- < 00 < Z C. z e> — t Z U z a o h i- UJ 3 < 2 > D Z C Z O > - O or r- »- < Z C3 < z o 3 o: - J 0- z a o: a o o a O u. u. O > in O in O I o u I o: t-ooi-- I Tt 05 - a — a cn O O-INO < »- z — 3 00 (0 00 3 '- I - n O CN -r- TT O 05 ZCD ao5 or r- aoi (5 o o o o O -I *- Z - i-i 05 MM SO Z 05 STARCH HTDROLYSATES FRONT PAGES OF SELECTED PATENTS Jan- Apr 1982 U.S. Patents (7) 4,317,881 4,321,323 4,317,880 4,310,628 4,316,956 4,314,854 4,321,324 Selected U.S. Patents (36) 4 ,242,451 4,217,414 4 ,230,802 4,226,937 4 ,208,482 4,219,571 4 ,206,285 4,132,595 4 ,282,319 4,199,372 4 ,252,899 4,135,977 4 ,264,732 4,277,563 4 ,247,636 4,266,027 4 ,113,565 4,251,630 4 ,088,538 4,266,981 4 ,106,987 4,242,450 4 ,081,327 4,246,347 4 ,279,931 4,089,745 4 ,138,290 4,097,333 3 ,996,107 4,237,226 4 ,113,509 4,220,721 4 ,254,150 4,235,965 4 ,202,939 4,241,185 PATENTS ARE LISTED IN ORDER OF APPEARANCE 199 2 to II I I ,8 Hill! si j j.2'||ll i Si b Ijsifl 111 si £ iSotl] 5 3 i .kin i IPs! 1 IN |4||||s „ x M 'I ■ o - llflltl miii a 60 !!! 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I! p I!!l M ! lilil i § * i I H 3 1 " Jill] §1 I I I lie 1 i G 53 5 , 1 1 32 3 GO t "jj 8 1 1 21**! ■2 -a-a .2 8 II I at 5 H s 1 § ill 5 ^1: i! -s^flS " 3S it 1*3 ill $ fa 5 GO •a p 5§S$ I fl g ji 3 3 Si's 210 AMINO ACIDS This profile includes processes for preparing alpha or beta amino acids, substituted amino acids, or salts by a biological transformation of matter. The transforming agent may be a microorganism, an enzyme or im- mobilized enzyme, or animal or plant cell culture. The pro- file also includes processes where a racemic mixture is treated with a microorganism or enzyme to purify it or to lib- erate an optically active mix- ture or compound. PATENT ACTIVITY INCLUDED IN THIS PROFILE ARE ALL OF THE PATENTS FROM: Class 435, Subclasses 106-116 and 280 ACTIVITY INDICES (1979-1981) GROWTH 18^.0% FOREIGN SHARE 76.3% CORPORATE OWNED 92.1% GOVERNMENT OWNED 0.0% U.S. OWNED OF FOREIGN 6.9% Patents 40 BY PATENT GRANT DAT 1972-1981 75 76 77 78 79 80 81 BY APPLICATION PILING DATE 1970-1979 TOTAL I A A U.S. ORIGIN FOREIGN ORIGIN LI 1970 71 72 73 74 75 76 77 78 79 O r- co n O — - O O 01 - 2 - o. in oo co c t m i- id — m »- en rr en 0) O oo cn co ^r *- s 2 2 3 a. > d o 3 3 O Q D O O 2 Q O O UJ O O i-h z a • 2 2 2 < 2 Q • • > 3 ■- O 3 z z z 2 2 < a t- i-h o C5UJO O C3 O a ¥ • < 2 2 a > a ~ 2 a M O O 2 2 a 3 2 o a • 2 DC _J < K OUCJmO o o o a cc a 2 O UJ CO IU LU UJ a 2 o o o < t- 2 1- • D I < < UJ a . . . uj Z • uj a to < UJ K a 2 O o co in co a C3 co a < UJ 2 ■ 3 uj i/i < a ■ • . o hH • o "O 3 DDW2mO< • 3 3 3 u. uiDL & *» ro -r- in p O O o - MO oo *■ o o o (0 -r- »- *■ -i a uj a _i w (S o Oiu o ■ 2 a _j < t- a 2 UVUJIflUUJUIQZ a. 2 < K 2 -J h- • O I < < w a o cs o.ifl< 3 M Q 3 O O 2 2 a 3 2 •- O O O 213 AMINO ACIDS Organizational Patenting: Ranked NO. OF PATENTS ASSIGNEES WITH 2 OR MORE PATENTS (1969-1981) 64 KYOWA HAKKO KOGYO CO. , LTD. 57 AJINOMOTO CO., INC. 13 TANABE SEIYAKU CO., LTD. 9 KANEGAFUCHI KAGAKU KOGYO KABUSHIKI KAISHA 7 HOFFMAN-LA ROCHE INC. 7 TAKEDA CHEMICAL INDUSTRIES LTD. 5 COMMERCIAL SOLVENTS CORP. 4 SNAM PROGETTI S.P.A. 3 IMPERIAL CHEMICAL INDUSTRIES LTD. 3 ASAHI KASEI KOGYO K.K. 3 AMERICAN HOME PRODUCTS CORP. 3 MERCK & CO., INC. 2 RHONE POULENC INDUSTRIES 2 AGENCE NATIONALE DE VALORISATION DE LA RECHERCHE (ANVAR) 2 PHILLIPS PETROLEUM CO. 2 ETHYL CORP. 2 TORAY INDUSTRIES, INC. 2 MITSUBISHI PETROCHEMICAL CO., LTD. 2 UPJOHN CO. 2 EXXON RESEARCH & ENGINEERING CO. 2 AKTIEBOLAGET BOFORS 2 LOUISIANA STATE UNIVERSITY FOUNDATION 214 U K Z I- ZOO -Z I- O . z z o < < z in -«KZO"-OZ_ uZHZOK<<»- l ct < a — «" " w a o < a u. u. u. WW z o -i a i « z i > or CO UJ LU t- z > -iiumiu z z < UJ > D CQ z wdhd: k s m -c Q .-. O i hZUJ z a o o Z Z « -J O O u. UJ UJ UJ < >-. < O O < UJ Z u. 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Unassigned patents show the full address of the Inven- tors. D. Assignee refers to a company, organization or individual to which the inventors' rights to a patent are assigned. The name and city are shown. D. 59,583 is the number given to the application, which was filed on July 20, 1979. 279 E. Foreign Application Priority Data indicates corresponding applica- tions which were filed in other countries, gives the filing date and foreign application number. By fulfilling certain requirements, an applicant filing in the U.S. may be entitled to the benefit of the filing date of a prior application in a foreign country. F. Int. C1...C12N 9/04 is the International Patent Classification. F. D.S. CI... 435/190, 435/822 are the two U.S. Classifications listed for this patent: Class 435, subclass 190 and Class 435, subclass 822. The classification listed in boldface on the patent is called the original classification (OR). The other is the cross-reference classification (XR). Every patent has one and only one original classification. If the disclosure of the patent falls into more than one subclass, additional copies of the patent are placed in those subclasses as cross-reference classifications. F. The Field of Search... refers to the U.S. Classification where the Patent Examiner searched to compare the claimed subject matter to that disclosed in previous patents and articles. G. References Cited refers to references which may be cited by the examiner and applicant to show the state-of-the-art or to indicate the prior art most closely related to the invention which is claimed in the application. H. The Patent and Trademark Office (PTO) requires that the patent application include a brief Abstract of the technical disclosure in the specification. The purpose of the abstract is to enable the PTO and the public to determine quickly the nature and gist of the technical disclosure. H. The front page also lists the number of Claims and the number of Drawing Figures in the patent. When appropriate, a representative drawing is also included on the front page of the patent. Country Codes The following country codes appear in Part 2D of the profiles. AU - Australia IL - Israel CA - Canada IR - Iran CH - Switzerland IT - Italy DE - West Germany J A - Japan DK - Denmark JP - Japan DT - West Germany SE - Sweden EN - United Kingdom (England) SF - Finland ES - Spain SU - Soviet Union FI - Finland SW - Sweden FR - France ZA - South Africa Application Filing Date The application filing date information as set forth in Parts 1 and 2A of the profiles is determined by taking all patents which issued between 1967 and 1981 and distributing them according to the year the application was filed in the PTO. Patents which were granted prior to 1967 are not included since the application date information for these patents is not in the data base. Also, applications which were filed but never issued (roughly 30% of the total filings), as well as those applications which were still pending as of December 31, 1981, are not included. Thus, only those applications which were filed and subsequently became patents with patent grant dates between 1967 and 1981 are included. While the length of time between the patent application date and the pat- ent grant date varies from patent to patent, the current average pendency is approximately 24 months. Clearly many applications filed in 1981 were still pending at the end of 1981, as were a number of those filed in 1980. Thus, application filing date data for these years are incomplete. While a small number of applications which were filed prior to 1980 were still pending, OTAF feels that the application date data prior to January 1980 are essentially complete. That is, the number shown for applica- tions filed in the years prior to 1980 will not differ substantially with the passage of time, and this number is a true reflection of the number of applications filed in that year which have, and will, become patents. However, for the subsequent years, 1980 and 1981, that number will in- crease as more applications filed in those years become patents. It should be remembered that the numbers reflect only those applications which became patents between 1967 and 1981. Thus, the column "pre-68" does not include all applications filed before 1968 but only those which issued in 1967 and subsequently. The graph of this information in Part 1 of each profile is limited to the years 1970-1979, years for which the application date data are essentially complete. Thus, the graphs are accurate representations of activity based on the application dates of subsequently issued patents. Assignee The term "assignee" refers to a company, organization or individual to which the inventor's rights to a patent are assigned. For the purpose of this publication, the assignee will, in all cases, refer to the assignee at the time the patent was granted. Approximately 80% of all U.S. patents are assigned when granted. By far, the largest portion of assignees are corporations. Composite Total Part 2C of each profile contains an alphabetical listing of assignees. In some instances, assignees are listed in more than one place due to variations in the printing of the name. These variations occur for a number of reasons, such as typographical errors, changes in company names, or differences in spacing or abbreviations. These variations also occur on the first pages of the patents which are shown in Part 3. In Part 2B of each profile, which ranks assignees according to number of patents held, the number of patents listed for certain assignees may be a composite resulting from the combination of different titles which in fact signify identical assignees. An asterisk appears next to these to- tals. This will alert the reader that the particular assignee is listed under more than one title in Part C. The assignees making up composite groupings are listed below: For: Purdue Research Foundation See Also: Purdue Research Corporation For: Hayashibara Biochemical Laboratories Incorporated See Also: Kabushiki-Kaisha Hayashibara Seibutsu Kagaku Kenkyujo, Kabushiki Kaisha Hayashibara Selbutsukagaku Kenkyujo, and Hoyashibara Biochemical Laboratories Incorporated For: Amano Pharmaceutical Co., Ltd. See Also: Amano Seiyaku Kabushiki Kaisha For: University of California, the Regents of See Also: Regents of University of California For: Stanford University, Leland Junior, The Board of Trustees of See Also: Board of Trustees of the Leland Stanford University For: Agence Nationale De La Valorisation de la Recherche (ANVAR) See Also: Etablissment Public Det" Agence Nationale de Valorisation D For: Novo Terapeutisk Laboratorium A/S See Also: Nono Terapeutisk Laboratorium A/S For: Meiji Seika Kaisha, Ltd See Also: Miejr Seika Kaisha, Ltd For: Institut Armand Frappier See Also: L' Institut Armand-Frappier For: University of California, The Regents of See Also: Regents of University of California APPENDIX B PUBLICATIONS BY THE OFFICE OF TECHNOLOGY ASSESSMENT AND FORECAST Copies of the publications listed below are available from: National Technical Information Service (NTIS) 5285 Port Royal Rd. Springfield, Virginia 22161 (703) 487-4650 When ordering from NTIS, please give the publication title and' its "COM" or "PB" number. Most reports are also available on microfiche at a cost of $4.50 per report - domestic, $9.00 per report - foreign. Please note that prices are subject to change without notice. * DESIGN PATENTS , 1983* PB 83-224063; Cost: Domestic - $15.50; Foreign - $31.00 Compiles all available statistics on design patents granted in the U.S. Analyzes trends, and identifies the origins and ownership of U.S. design patents. Profiles major divisions within the design pat- ent file, and identifies most active design areas. Includes selected patent front pages from each class in the Design Classification Sys- tem. * Industrial Robots: A Survey of Foreign and Domestic U.S. Patents , August 1982 PB 82-169269; Cost: Domestic - $95.00; Foreign - $190.00 Analyzes 212 U.S. patents disclosing industrial robot technology, in- cluding control & positioning, programming and motion systems, sen- sors, and grippers. Includes patent front pages and the first pages of the specification, arranged by technology. Discusses countries and companies most active in U.S. patenting of robotics. Includes micro- fiche containing the full text of 212 robot patents. * Industrial Patent Activity in the United States, Parts 1 and 2 , April 1983 PB 83-213413; Cost: Domestic - $40.50; Foreign - $81.00 This two-part publication gives information about the activity, owner- ship and national origin of patents granted by the U.S. Patent and Trademark Office. It identifies those U.S. and foreign organizations, e.g., corporations, government agencies and universities, which have been most active in the U.S. Patent System during the years 1969- 1982. Yearly updates of this publication are expected. Each part, described on the next page, may be purchased separately. *Also available from GPO. See page 287. * Industrial Patent Activity in the United States, Part 1 - Time Series Profile by Company and Country of Origin, 1969-1982, April 1983 PB 83-169094; Cost: Domestic - $25.50; Foreign - $51.00 Part 1 shows the relative levels of patenting by all nations active in the U.S. Patent System and gives yearly counts of patents attributed to corporate, government and unaffiliated, e.g., "independent" inven- tors. It identifies companies having 10 or more patents in the 1969- 1982 period, and ranks them in terms of total 14-year patent re- ceipts. Patent activity for each year is profiled by both patent grant date and patented application filing date. * Industrial Patent Activity in the United States Part 2 - Alphabetical Listing by Company, 1969-1982, April 1983 PB 83-169102; Cost: Domestic - $19.50; Foreign - $39.00 Part 2 is an alphabetical list of more than 20,000 U.S. and foreign organizations receiving at least three patents during the period 1969- 1982. Included for each organization is the total patent count for the 14-year period. PATENT PROFILES These publications survey the U.S. patent activity in specific areas of selected, high-interest technologies. Each profile: * identifies the technology area examined illustrates its U.S. patent activity in graphic and tabular form # lists the owners of patents granted in the technology from January 1969, giving the patent numbers and titles ranks owners holding the most patents in the area identifies independent inventors of patents granted from January 1975, giving patent numbers, titles and addresses * PATENT PROFILES - Biotechnology: 1982 Update , September 1983* PB 83-240937; Cost: Domestic - $15.50; Foreign - $31.00 Profiles the patent activity in six areas of biotechnology involving enzymes and microorganisms, their use in the synthesis of certain products, and their preparation or modification. Includes an analysis of legal decisions which have affected the patenting of biotechnology processes and products. Lists recent foreign patent documents which disclose genetic engineering. Includes front pages of recent patents and selected patents of interest. This publication includes a section which updates through 1982 the six biotechnology areas profiled in PATENT PROFILES -Biotechnology (PB-82-250820) . *Also available from GPO. See page 287. * PATENT PROFILES - Microelectronics - II , January 1983* PB 83-1326613; Cost: Domestic - $15.50; Foreign - $21.50 The second in the series of profiles on microelectronics, this publication covers two additional areas of the technology — Digital Logic Circuits and Semiconductor Memories. A third section — Speech Analysis and Synthesis — examines an area dealing with a practical application of microelectronics technology. Includes front pages of 30 patents and briefly describes their particular significance in the art. Provides an analysis of organizational patenting patterns. * PATENT PROFILES - Microelectronics-I , February 1981* PB 81-179582, Cost: Domestic - $8.50 Foreign - $17.00 Profiles the patenting activity in two representative segments of microelectronics technology relating to integrated circuit structure and information processing devices, e.g., "CPU's." For patents issu- ing from 1/1980 to 10/1980, includes front pages, showing bibliograph- ic information, an abstract of the disclosure, and an appropriate drawing. Includes information about references cited during the exam- ination period. * PATENT PROFILES-Solar Energy , January 1980* PB 80-190010, Cost: Domestic - $6.50 Foreign - $13.00 Profiles the patenting activity in five areas of technology using energy provided by the sun and in three areas using energy derived from other natural sources, such as wind, tide, wave, and geothermal. A cumulative profile of the five solar areas illustrates the dramatic growth in this field. ' PATENT PROFILES-Synthetic Fuels , December 1979* PB 80-128572, Cost: Domestic - $6.50 Foreign - $13.00 Profiles the patent activity in ten areas of synthetic fuel technology dealing with the conversion of solid carbonaceous material to liquid or gaseous hydrocarbons. Starting materials include coal, oil shale, bituminous sands, wood and organic wastes. TECHNOLOGY ASSESSMENT AND FORECAST REPORTS ' Tenth Report , November 1981* PB 82-215658; Cost: Domestic - $16.50; Foreign - $33.00 Updates the "Top 50" introduced in the Ninth Report. Reviews the U.S. patent activity of some of the largest European and Japanese foreign multinational corporations, over time, across technology and relative to one another. Provides an extensive review of the changing standards for computer software patentability, including the 1981 Supreme Court decision, and examines the impacts of such changes on a representative technology — seismic data processing. Demonstrates, using aerospace technology patenting as an example, how the patent file can be used as a source for historical, technical or bibliograph- ic data. *Also available from GPO. See page 287. * Ninth Report , March 1979* PB 293380; Cost: Domestic - $16.50; Foreign - §33.00 Presents "Top 50" most active technologies in three categories — Most Active, Fastest Growing, and Most Foreign-Active — for each of three broad groupings of technology — Chemical, Electrical and Mechanical. Examines trends in domestic patenting and independent inventor patenting. Includes an extensive review of patenting in "Ferrous Metal" technologies. Concludes with a discussion of two experiments in the transfer of "appropriate technology" to small businesses and developing countries. * Eighth Report , December 1977* PB 276375; Cost: Domestic - $13.50; Foreign - $27.00 Reviews U.S. patenting in the context of domestic vs. international patenting and analyzes the balance of patenting between the U.S. and other countries. Presents a study demonstrating the use of patents and the patent file as a unique technological resource. Concludes with an in-depth analysis of patent activity in geophysical explora- tion for hydrocarbons. * Seventh Report , March 1977* PB 265792; Cost: Domestic - $18.00; Foreign - $36.00 Reviews historical patenting and trademark registration trends, and includes the most extensive collection of historical U.S. patent data ever presented in a single publication. Uses data relating to patents granted by foreign nations for a study of invention sources. Uses pending patent application data for forecasting. Presents brief re- views of 16 technologies experiencing high overall or foreign patent activity. Concludes with the series' most comprehensive assessment of activity in a given technology, specifically in computer memories. * Sixth Report , June 1976 PB 254188; Cost: Domestic - $16.50; Foreign - $33.00 Reviews 15 technologies with unusually high foreign activity and 22 technologies with high overall activity. Updates the 1973 reports on patent activity in solar energy, and adds reports on the use of waste material or wind for energy generation. Presents comparisons of pat- enting to R&D expenditures and R&D manpower allocations in six select- ed industries. The report concludes with a review of six most often cited patents in 1975, five U.S. and one foreign patent. * Fifth Report , August 1975 COM 75-11142; Cost: Domestic - $15.00; Foreign - $30.00 Reviews 60 technological areas, not previously reported on, which experience a high level of overall activity or of foreign activity. Presents patent activity data in categories corresponding to 36 Product Fields of the Standard Industrial Classification System. *Also available from GPO. See page 287. Fourth Report: A Review of Patent Ownership , January 1975 COM 75-10050; Cost: Domestic - $13.50; Foreign - $27.00 Identifies the 73 corporations and government agencies which received 500 or more patents during the five year period 1969-1973, and reviews and compares their patent activity across the spectrum of technology. Also reviews in terms of patent ownership, the patent activity during the same period, in nuclear energy technology and oil shale and coal gasification technology. Third Report , June 1974 COM 74-11383; Cost: Domestic - $16.50; Foreign - $33.00 Presents an overview of the technological activity, across all tech- nologies, of a group of selected foreign countries and a group of se- lected U.S. states. Extends energy area treatments to include oil shale and coal gasification technologies. Reviews additional technol- ogical areas having a high level of overall activity. Early Warning Report , December 1973 COM 74-10150; Cost: Domestic - $22.50; Foreign - $45.00 Spotlights those technological areas experiencing a high level of overall activity or of foreign activity. Reviews patent activity in a number of energy areas, including nuclear, solar, geothermal, and tide, wind and wave energy. Initial Publication , May 1973 COM 73-10767; Cost: Domestic - $12.00; Foreign - $24.00 Describes 0TAF program and gives sample reports on 24 wide ranging areas of technology in varying levels of detail. *N0TE: The following publications may also be obtained from: The Superintendent of Documents U.S. Government Printing Office Washington, DC 20402 Their identification numbers and costs are: ' Seventh Report , 003-004-00542-4; Cost: $4.25 * Eighth Report , 003-004-00550-5; Cost: $3.75 * Ninth Report , 003-004-00559-9; Cost: $4.00 ' Tenth Report , 003-004-00580-7; Cost: $7.00 ' PATENT PROFILES-Synthetic Fuels , 003-004-00566-1; Cost: $5.50 * PATENT PROFILES-Solar Energy , 003-004-00568-8; Cost: $5.50 ' PATENT PROFILES-Microelectronics - I , 003-004-00574-2; Cost: $7.00 * PATENT PROFILES-Biotechnology: 1982 Update , (Order number and cost not available at time of printing) * PATENT PROFILES-Microelectronics - II , 003-004-00595-5; Cost: $6.50 * DESIGN PATENTS , (Order number and cost not available at time of print- ing) 287 APPENDIX C CUSTOM PATENT REPORTS FROM THE OFFICE OF TECHNOLOGY ASSESSMENT AND FORECAST OTAF's computerized base of data relating to the U.S. patent file in- cludes, at present: * all subclasses of the U.S. Patent Classification (USPC) System, and the classification within this System of all U.S. patents, including utility and design patents * the relationship of all utility subclasses in the U.S. Patent Classification System to 55 Product Fields and combinations of Product Fields in the Standard Industrial Classification (SIC) System * the category of ownership at time of issue, e.g., U.S. government, foreign government, U.S. corporation, foreign corporation, U.S. individual, foreign individual (for utility patents issued since 1963 and for design patents issued since 1977) * the country or state of residence of the inventor (for utility patents issued since 1963 and for design patents issued since 1977) * the date the application for patent was filed in the U.S. (for utility patents issued since 1967 and for design patents issued since 1977) * the specific (i.e., named) ownership of all patents which, at time of issue, were owned by an organization (for utility patents issued since 1969 and for design patents issued since 1977) * the patent title (for utility patents issued since 1969 and for design patents issued since 1977) * the name and address of inventors of unassigned patents (for util- ity patents issued since 1975 and for design patents issued since 1977) * the field of search and references cited in the examination lead- ing to the patent grant (for utility patents issued since 1975 and for design patents issued since 1977) Custom Patent Reports Data can be retrieved on the basis of any one or any combination of the factors listed above, manipulated on most any given basis and presented in a number of formats, e.g., lists, tables, graphs, charts, etc. This flexibility is illustrated in OTAF publications, such as Technology Assessment and Forecast Reports and PATENT PROFILES, and by the following excerpts from custom reports. Samples of standard format custom reports are available from OTAF. Technology Profile Report This standard format multi-part report uses most of the elements in OTAF's data base to provide a detailed patent profile of a specific tech- nology or subject area. Information provided includes rate of patenting, origin of patenting, type of assignment, specific assignment, patent num- bers and their titles, and names and addresses of "independent" inven- tors. There are four parts (parts A, B, C, & D) which comprise a complete report. Part A includes patenting activity percentages, and time-series distribution by general assignment category and origin of patents, Part B is a ranked listing of organizations which shows counts of patents grant- ed by both year of application filing and grant date, Part C lists orga- nizations alphabetically with patent numbers and titles, Part D gives the name and address of the inventors of patents assigned to individuals or unassigned at time of issue, and includes patent numbers and titles. This report can be tailored to specific needs. This PATENT PROFILES pucr- lication is itself an example of the data presented in a Technology Pro- file Report. Organizational Profile Report Pages 292-293 show excerpts from another of OTAF's standard format custom reports, the Organizational Profile. This report profiles patent activi- ty across all of the classes and subclasses of the USPC System, and gives specific patent numbers and titles. The reports may be limited to spe- cific classifications. Pages from a report on Atlantic Research Corpora- tion are given as an example. This type of report can be prepared on the patents of any organization or grouping of organizations, or on the patents granted to the residents of any state or country or grouping of states or countries. Multi-Corporate Patent Activity Profile Like the above described Organizational Profile, this report also pro- files patent activity across the classes and subclasses of the USPC Sys- tem. Multi-Corporate Profiles may be limited to specific classifica- tions. In this report, the activity of up to eight organizations is pro- filed simultaneously, facilitating comparisons between organizations. Unlike the Organizational Profile, no patent numbers or patent titles are given. A sample page from a report on AT&T, Bell Labs, Teletype and Western Electric is shown on page 294. Enterprise Patenting Report Page 295 shows an excerpt from a standard format Enterprise Patenting Report on AT&T. Here, the number of patents per year per class is given for a parent company and its patenting subsidiaries. An optional part of this report lists all of the organizations considered under the enter- prise name and indicates the total number of patents held by each of them. 290 SIC Product Field Reports On page 296 is a listing of Standard Industrial Classification (SIC) Product Fields for which a concordance exists with utility subclasses of the USPC System. Custom patent reports, such as the Technology Profile Report, can be prepared for any of these Product Fields. Other Standard Format Reports OTAF has developed the flexibility to prepare other standard format reports designed to meet the needs of a large number of users. These in- clude: * Corporate Patenting Report where patents of the designated organi- zation are given in numerical order, " Search and Citation Report which includes, for a designated classification or group of classifications, the number and origin of the references cited during the examination period leading to the grant of the patent, the U.S. references most frequently cited and the owner (assignee) of patents most frequently cited, and * Mailing Labels for inventors of unassigned patents. How to Obtain OTAF Custom Reports Contact OTAF to discuss the type of information you need. OTAF will assist you in determining the report content and format that best suits your needs, and provide you with a free estimate of its cost. If the terms are acceptable to you, the report will be prepared and forwarded to you, usually within seven working days. Costs All Custom Reports are provided on a cost reimbursable basis and billed through the National Technical Information Service to which payment is made by check, or charged to an NTIS deposit account or major credit card. These costs may vary widely — from as low as $75.00 for some forms of our standard format reports, to several thousand dollars for complex or large scale treatments. The preparation of specially tailored reports, requiring extensive professional time, programming and/or computer time, is subject to the availability of OTAF resources. Cost estimates for specifically requested custom reports will be provided prior to report preparation. Whom to Contact Inquiries concerning OTAF publications/services are invited and should be directed to: Office of Technology Assessment and Forecast U.S. Patent and Trademark Office Washington, D.C. 20231 Phone: (703) 557-2982 291 CU c C eo co CO cd > xi o g £ S •h w x „ 0) CO o o > s a 5" CX.H ages : ° S M " « « O -H O ^ S)U C • «^° .° W 0) O ~ j*, cu ex Tl « > o " S d n §.- ' H & °< >><4-l Cd m M ° cd o t>> bO 0) C o H o cu a -h x _ O CO gs •H CD T3 4J Cd CU o cd H x) <4-l .-< . 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Special thanks are extended to Patent and Trademark Office pro- fessional and technical personnel whose continuing input to the Technol- ogy Assessment and Forecast program is indispensable. TECHNOLOGY ASSESSMENT AND FORECAST STAFF John F. Terapane, Ph.D., Director Jane S. Myers, Program Director Mary Ellen Mogee, Ph.D., Program Analyst James A. Peterson, Systems Analyst Susan B. Rifkin, Senior Analyst James Jeffrey Franklin, Analyst Margaret M. Gilbert, Data Control Technician Deneise S. Boyd, Secretary Judy Dickie, Secretary PRINCIPAL TECHNOLOGY ANALYST FOR THIS PUBLICATION Ray Penland, Ph.D., Primary Examiner COORDINATORS FOR THIS PUBLICATION Jane S. Myers, Program Director, OTAF Susan B. Rifkin, Senior Analyst, OTAF COMPUTER - GENERATED DATA AND GRAPHICS James A. Peterson, Systems Analyst, OTAF Margaret M. Gilbert, Data Control Technician, OTAF CONSULTANTS William S. Lawson, Administrator for Documentation Thomas Wiseman, Primary Examiner Gerald Brigance, Primary Examiner 297 ,469 PENN STATE UNIVERSITY LIBRARIES A0Q007DW163