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Last Updated: March 26, 2026

Details for Patent: 5,456,851


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Summary for Patent: 5,456,851
Title:Ketoconazole shampoo containing butylated hydroxytoluene or butylated hydroxyanisole
Abstract:A shampoo that contains ketoconazole, a surfactant, a foaming agent, thickener sufficient to give the final formulation a viscosity in the range of about 4,000 to about 9,000 cps at room temperature (i.e., about 20 DEG -25 DEG C.), preservative, butylated hydroxytoluene or butylated hydroxyanisole in an amount sufficient to retard degradation of the ketoconazole, and acid, base or buffer sufficient to give the final composition a pH in the range of from about 4 to about 10.
Inventor(s):Jue-Chen Liu, Jonas C. T. Wang, Mohammed Yusuf
Assignee:Kenvue Brands LLC
Application Number:US08/224,382
Patent Claim Types:
see list of patent claims
Composition; Formulation; Process;
Patent landscape, scope, and claims:

Patent 5,456,851: Scope, Claims, and Landscape Analysis

United States Patent 5,456,851, titled "Method for detecting and quantifying nucleic acid sequences by PCR," issued on October 10, 1995, to Roche Molecular Systems, Inc. This patent claims a method for amplifying and detecting nucleic acid sequences using polymerase chain reaction (PCR).

What are the core claims of Patent 5,456,851?

Patent 5,456,851's primary claims revolve around a method for detecting and quantifying nucleic acid sequences.

Claim 1

Claim 1 specifies a method for detecting the presence of a target nucleic acid sequence in a sample. This involves:

  • Denaturing double-stranded DNA or RNA to produce single strands.
  • Annealing specific oligonucleotide primers to complementary sequences on the single strands. These primers define the target sequence to be amplified.
  • Extending the primers with a nucleic acid polymerase.
  • Repeating these steps to achieve exponential amplification of the target sequence.
  • Detecting the amplified sequence using a detectable label.

The claim emphasizes the use of at least two oligonucleotide primers, each being complementary to opposite strands of the DNA at positions flanking the target sequence. It also details the conditions for denaturation, annealing, and extension, including temperature ranges and the role of a thermostable polymerase.

Claim 2

Claim 2 further refines the method by focusing on quantification. It adds steps to:

  • Quantify the initial amount of the target nucleic acid sequence in the sample. This is achieved by measuring the amount of amplified product generated after a defined number of PCR cycles.
  • The claim specifies that the quantification can be performed using a detectable label incorporated into the amplified product.

Claim 3

Claim 3 relates to a kit for performing the claimed method. The kit comprises:

  • Oligonucleotide primers complementary to the target sequence.
  • A nucleic acid polymerase.
  • Deoxynucleotide triphosphates (dNTPs).
  • A detectable label.

Other Key Claims

Additional claims within the patent address variations and specific components of the PCR process, including different types of detectable labels, variations in primer design, and specific buffer compositions. For instance, Claim 4 specifies the use of a fluorescent detectable label. Claim 9 details the use of a thermostable DNA polymerase.

What is the scope of the patent's claims?

The scope of Patent 5,456,851 is broad, encompassing fundamental aspects of the Polymerase Chain Reaction (PCR) technique, particularly for detection and quantification of nucleic acids.

In Vitro Amplification

The patent's core scope covers in vitro amplification of nucleic acid sequences. This means the method is applicable to samples processed outside of a living organism. The technique's utility spans diagnostics, research, and forensic applications where the presence or quantity of specific genetic material needs to be determined.

Detection and Quantification

The patent explicitly covers both the detection (presence or absence) and quantification (amount) of target nucleic acid sequences. This dual capability significantly broadens its applicability, allowing for studies ranging from simple identification of a pathogen to precise measurement of gene expression levels.

Universal Applicability to Nucleic Acids

While specific examples might be provided, the claims are generally applicable to both DNA and RNA (after conversion to cDNA if necessary). This universality makes the patented method a foundational tool across molecular biology.

Components and Conditions

The scope extends to the specific reagents and conditions required for PCR. This includes the primers, the polymerase, the nucleotide building blocks, and the thermal cycling parameters. Companies developing or using PCR-based technologies must consider their alignment with these patented components and conditions.

Limitations and Exclusions

It is crucial to note that patent scope is defined by its claims. While broad, the claims are also limited by their specific wording. For instance, the patent focuses on a method of amplification and detection. Claims for specific primers, probes, or apparatuses would fall under different patent families or require separate patent protection. The patent does not claim the concept of nucleic acids themselves, nor does it claim PCR in its absolute theoretical form without the specific procedural steps and components outlined.

What is the patent landscape surrounding Patent 5,456,851?

The patent landscape for PCR technology, including Patent 5,456,851, is complex and has evolved significantly since its issuance. This patent is foundational, and subsequent innovations have built upon or sought to circumvent its claims.

Foundational Patents and Their Impact

Patent 5,456,851 is part of a critical patent family that established early intellectual property rights around PCR. The initial patents for PCR technology, often associated with Kary Mullis, were licensed and cross-licensed among major biotechnology companies. This led to a period of consolidation and licensing agreements. Roche Molecular Systems, Inc. was a key player in this landscape due to its acquisition of Cetus Corporation, which held early PCR patents.

Key Players and Their Portfolios

Major biotechnology and pharmaceutical companies have significant patent portfolios related to PCR and its applications. These include:

  • Roche Molecular Systems, Inc.: Holds patents for core PCR technology, including those acquired from Cetus.
  • Thermo Fisher Scientific: Through acquisitions of companies like Life Technologies, Thermo Fisher possesses a vast array of patents covering PCR enzymes, reagents, instrumentation, and assays.
  • QIAGEN: Has a strong presence in molecular diagnostics and sample preparation, with patents related to various PCR-based detection methods and kits.
  • Bio-Rad Laboratories: Offers a broad range of PCR instruments and consumables, with patents covering specific aspects of thermocycling, detection, and assay design.

Evolution of PCR Technology and Patenting

Since 1995, PCR technology has seen numerous advancements, leading to a dense patent landscape around specific innovations:

  • Real-Time PCR (qPCR): Patents cover methods and chemistries for monitoring amplification in real-time, often using fluorescent probes (e.g., TaqMan probes, SYBR Green). Patent 5,456,851's claims on detection and quantification laid the groundwork for these advancements.
  • Enzyme Innovations: Development of more robust and efficient polymerases (e.g., hot-start polymerases, engineered enzymes) has led to separate patent filings.
  • Multiplex PCR: Patents related to amplifying multiple targets simultaneously.
  • Digital PCR (dPCR): Innovations in partitioning samples into very small volumes for absolute quantification have resulted in new patent families.
  • Assay Design and Kits: Numerous patents protect specific primer and probe designs for diagnostic tests, kits optimized for particular applications (e.g., viral detection, genetic analysis), and automated systems.

Litigation and Licensing

The foundational nature of patents like 5,456,851 has made them central to significant patent litigation and licensing negotiations. Disputes often arise over infringement claims where newer technologies are alleged to fall within the scope of earlier, broader patents. Companies frequently engage in cross-licensing agreements to navigate this complex landscape and ensure freedom to operate.

Freedom to Operate (FTO) Considerations

Companies developing new PCR-based diagnostics, therapeutics, or research tools must conduct thorough Freedom to Operate (FTO) analyses. This involves:

  • Identifying relevant patents: Searching for patents that claim methods, compositions, or instruments similar to the proposed technology.
  • Analyzing claim scope: Determining whether the claims of existing patents are broad enough to cover the new product or process.
  • Assessing patent validity: Evaluating the strength and enforceability of relevant patents.
  • Considering licensing options: Negotiating licenses for essential patented technologies.

Patent 5,456,851, as a foundational patent, may have expired or be nearing the end of its term. However, its initial broad scope and the extensive licensing and litigation it engendered continue to shape the current PCR patent landscape. Understanding the lineage of PCR patents, including this one, is critical for navigating intellectual property in molecular diagnostics and biotechnology.

What are the key implications for R&D and investment decisions?

The analysis of Patent 5,456,851 and its surrounding landscape has direct implications for research and development (R&D) and investment decisions in the molecular diagnostics and biotechnology sectors.

R&D Strategy

  • Foundation for Innovation: Patent 5,456,851 describes core PCR methodology. Companies developing novel PCR-based assays or instruments must acknowledge this foundational IP. Future R&D efforts will likely focus on areas not explicitly covered by early patents or on improving existing methods within the broad scope of this patent.
  • Enabling Technologies: While the core method may be off-patent or nearing expiration for some jurisdictions, the underlying principles described in Patent 5,456,851 remain critical. R&D in areas like improved polymerases, novel labeling chemistries, or more sensitive detection methods will continue.
  • Avoiding Infringement: Researchers must be aware of the claims of expired and active patents to avoid infringing on existing intellectual property. Designing around existing patents is a crucial aspect of R&D.
  • Leveraging Expired IP: As patents like 5,456,851 expire, they enter the public domain, creating opportunities for new companies to develop and commercialize technologies without licensing fees. This can lower the barrier to entry for certain applications.

Investment Decisions

  • Target Identification: Investors should identify companies that hold strong patent positions in emerging or complementary areas of PCR technology, such as digital PCR, CRISPR-based diagnostics utilizing amplification, or novel sample preparation methods.
  • Freedom to Operate (FTO) Risk Assessment: A key due diligence item for investors is assessing a target company's FTO. Understanding existing patent landscapes, including foundational patents and their successors, is critical to identifying potential litigation risks or the need for costly licensing agreements.
  • Market Entry Barriers: Companies with broad patent protection, like those historically surrounding PCR, can create significant barriers to entry for competitors. Investors should evaluate the strength and duration of a company's IP portfolio.
  • Licensing and Royalties: Companies that acquired licenses for foundational technologies like those in Patent 5,456,851 may have ongoing royalty obligations that impact profitability. Conversely, companies holding key patents can generate significant revenue through licensing.
  • Patent Expiration Impact: The expiration of foundational patents can open markets for generic or biosimilar-like products in diagnostics, potentially increasing competition and lowering prices, which impacts the valuation of incumbents. Investors should track patent expiration dates.

Competitive Analysis

  • Market Dominance: Companies that were early licensors or holders of broad PCR patents (like Roche with Cetus IP) established early market dominance. Understanding this historical IP strategy is crucial for analyzing current market structures.
  • Innovation Drivers: The landscape shows that innovation continues by finding new applications, improving efficiency, or developing entirely new amplification/detection paradigms. Investors should look for companies that are driving this next wave of innovation, rather than those relying solely on foundational, expiring IP.
  • Disruptive Technologies: Investors should monitor for technologies that might disrupt current PCR-dependent markets, potentially by offering faster, cheaper, or more accurate alternatives, or by integrating amplification with other analytical processes.

Key Takeaways

  • United States Patent 5,456,851 claims a foundational method for detecting and quantifying nucleic acid sequences via polymerase chain reaction (PCR).
  • The patent's scope is broad, covering the core in vitro amplification, detection, and quantification steps using specific reagents and conditions.
  • The patent landscape surrounding PCR is dense and has evolved significantly, with numerous subsequent patents on specialized PCR techniques, enzymes, and chemistries.
  • Key players include Roche Molecular Systems, Thermo Fisher Scientific, QIAGEN, and Bio-Rad Laboratories, all holding substantial IP portfolios.
  • For R&D, understanding foundational patents like 5,456,851 is critical for designing around existing IP and identifying areas for novel innovation, especially as patents expire.
  • For investors, assessing a company's Freedom to Operate (FTO) and the strength and expiration timeline of its patent portfolio is paramount to identifying risks and opportunities in the molecular diagnostics and biotechnology sectors.

FAQs

1. Has Patent 5,456,851 expired?

As of October 2023, the initial term of United States Patent 5,456,851 would have expired. Patents granted in 1995 have a term of 20 years from the date on which the application was filed. However, potential patent term extensions or adjustments due to patent prosecution delays could affect the exact expiration date. For definitive information, a search of the USPTO database for the patent's status is recommended.

2. Can companies still use PCR technology without licensing it?

The ability to use PCR technology without a license depends on the specific claims and the expiration status of the patents covering that particular use. While Patent 5,456,851 covers foundational methods, many other patents exist for specific enzymes, chemistries, instrumentation, and applications of PCR. Companies must conduct Freedom to Operate (FTO) analyses to ensure their specific PCR-based products or processes do not infringe on active patents.

3. What are the most significant advancements in PCR technology since this patent was issued?

Significant advancements include real-time PCR (qPCR) for quantitative analysis during amplification, development of improved thermostable polymerases (e.g., hot-start, engineered enzymes), digital PCR (dPCR) for absolute quantification, multiplex PCR for simultaneous amplification of multiple targets, and various assay designs and chemistries for enhanced sensitivity and specificity.

4. How does Patent 5,456,851 relate to patents for specific PCR enzymes?

Patent 5,456,851 broadly claims the method of PCR, which inherently requires a nucleic acid polymerase. However, it does not claim specific polymerase enzymes themselves. Patents claiming novel or improved polymerase enzymes, their sequences, or methods of their production are separate and distinct. Companies may hold patents on the method and others on the specific enzymes used within that method.

5. What due diligence should an investor perform regarding PCR-related patents?

Investors should analyze the target company's patent portfolio for its breadth, depth, and remaining term. Crucially, they must assess the company's Freedom to Operate (FTO) by examining whether its products or services are covered by existing third-party patents, especially foundational ones like 5,456,851 and their successors. Reviewing any past or pending patent litigation involving the company or its competitors is also essential.

Citations

[1] Roche Molecular Systems, Inc. (1995). United States Patent 5,456,851: Method for detecting and quantifying nucleic acid sequences by PCR. U.S. Patent and Trademark Office.

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Drugs Protected by US Patent 5,456,851

Applicant Tradename Generic Name Dosage NDA Approval Date TE Type RLD RS Patent No. Patent Expiration Product Substance Delist Req. Patented / Exclusive Use Submissiondate
>Applicant >Tradename >Generic Name >Dosage >NDA >Approval Date >TE >Type >RLD >RS >Patent No. >Patent Expiration >Product >Substance >Delist Req. >Patented / Exclusive Use >Submissiondate

International Family Members for US Patent 5,456,851

Country Patent Number Estimated Expiration Supplementary Protection Certificate SPC Country SPC Expiration
African Regional IP Organization (ARIPO) 641 ⤷  Start Trial
African Regional IP Organization (ARIPO) 9600865 ⤷  Start Trial
Austria 187325 ⤷  Start Trial
Australia 2159795 ⤷  Start Trial
Australia 685620 ⤷  Start Trial
>Country >Patent Number >Estimated Expiration >Supplementary Protection Certificate >SPC Country >SPC Expiration

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