ECLI:NL:RBDHA:2023:7736, Rechtbank Den Haag, 17-05-2023, C/09/644989 KG ZA 23-240 en C/09/644996 KG ZA 23-244
Rechtbank Den Haag — Uitspraak 
Datum: 2023-05-17 00:00:00.000000
Rechtsgebied: Civiel recht; Intellectueel-eigendomsrecht

Samenvatting: Intellectuele eigenodm. Kort geding. Octrooi Apixaban. Plausibiliteit na G 2/21. Gerede kans dat bodemrechter het octrooi niet inventief zal achten. Technisch effect mag niet meegenomen worden omdat dit niet uit de aanvrage is af te leiden.

vonnis
    RECHTBANK DEN HAAG
    
    
      Team handel
    
    
    
      zaaknummer / rolnummer: C/09/644989 KG ZA 23-240 en C/09/644996 KG ZA 23-244
    
    
    
      
        Vonnis in kort geding van 17 mei 2023
      
    
    
    
      in de zaak C/09/644989 KG ZA 23-240 van
    
    
    
      de rechtspersoon naar vreemd recht
      
        BRISTOL-MYERS SQUIBB HOLDINGS IRELAND UNLIMITED COMPANY,
      te Steinhausen, Zwitserland,
      eiseres,
      advocaat mr. R.M. van der Velden te Amsterdam,
    
    
    
      tegen
    
    
    
      
        SANDOZ B.V.,
      te Weesp,
      gedaagde,
      advocaat mr. O.P. Swens te Amsterdam.
    
    
    
      en de zaak C/09/644996 KG ZA 23-244 van
    
    
    
      de rechtspersoon naar vreemd recht
      
        BRISTOL-MYERS SQUIBB HOLDINGS IRELAND UNLIMITED COMPANY,
      te Steinhausen, Zwitserland,
      eiseres,
      advocaat mr. R.M. van der Velden te Amsterdam,
    
    
    
      tegen
    
    
  
  
    
      1CENTRAFARM B.V.,
    2. CENTRAFARM SERVICES B.V.,
    3. CENTRAFARM NEDERLAND B.V.,
    4. STADA SERVICE HOLDING B.V.,
    
      te Breda,
      gedaagde,
      advocaat mr. D. de Lange.
    
    
    
      Partijen zullen hierna BMS en Sandoz respectievelijk Centrafarm c.s. genoemd worden. Alle gedaagden gezamenlijk ook wel Sandoz/Centrafarm (enkelvoud). De zaak is voor BMS inhoudelijk behandeld door mr. Van der Velden voornoemd, mr. H. Zagers en mr. C. Sijm, advocaten te Amsterdam en voor Sandoz door mr. Swens voornoemd, mr. A.A.C.M. van Oorschot, mr. T.D. Sigterman en mr. N.D. Brouwer, advocaten te Amsterdam. Voor Centrafarm c.s. traden op mr. B.B. van Wansem en mr. M.P. Mtshaulana naast mr. De Lange voornoemd.
    
    
  
  
    
      1De procedure in beide zaken
    
      1.1.
      Het verloop van de procedure C/09/644989 KG ZA 23-240 blijkt uit:
      
        
          de dagvaarding van 6 april 2023, 
        
        
          de producties EP1 tot en met EP27;
        
        
          de conclusie van antwoord, tevens akte houdende overlegging producties, met productie GP01 tot en met GP 11;
        
        
          de mondelinge behandeling van 26 april 2022, die door sommige belangstellenden per video is bijgewoond, en de ter gelegenheid daarvan overgelegde pleitnotities van BMS en Sandoz;
        
        
          de aktes van beide partijen waarbij de uitspraak van de Engelse Court of Appeal van 4 mei jl. is overgelegd en van commentaar door de betreffende partij is voorzien, ingediend op 10 mei 2023.
        
      
      
    
    
      1.2.
      Het verloop van de procedure C/09/644996 KG ZA 23-244 blijkt uit:
      
        
          de dagvaarding van 6 april 2023, 
        
        
          de producties EP1 tot en met EP26;
        
        
          de conclusie van antwoord, met productie GP1;
        
        
          de mondelinge behandeling van 26 april 2022, die door sommige belangstellenden per video is bijgewoond, en de ter gelegenheid daarvan overgelegde pleitnotities van BMS en Centrafarm c.s.;
        
        
          de aktes van beide partijen waarbij de uitspraak van de Engelse Court of Appeal van 4 mei jl. is overgelegd en van commentaar door de betreffende partij is voorzien, ingediend op 10 mei 2023.
        
      
      
    
    
      1.3.
      Vonnis is bepaald op heden. 
      
      
    
  
  
    
      2De feiten in beide zaken
    
      2.1.
      BMS maakt deel uit van het BMS concern. Dit concern is een farmaceutisch concern dat wereldwijd actief is en zich richt op de ontwikkeling van geneesmiddelen. Sinds 2007 is het BMS concern een wereldwijde samenwerking aangegaan met Pfizer Inc.
      
    
    
      2.2.
      BMS brengt – onder meer in Nederland – het geneesmiddel met de merknaam Eliquis® op de markt, met als actieve stof apixaban. Apixaban is een stof die de werking van factor Xa remt. Het remmen van factor Xa helpt de vorming van bloedstolsels te voorkomen. Eliquis® wordt in tabletvorm toegepast als anticoagulans, oftewel bloedverdunner, bij de behandeling van trombo-embolische aandoeningen.
      
    
    
      2.3.
      Bristol-Meijers Squibb Company (Verenigde Staten) heeft op 17 september 2002 een internationale PCT-aanvraag ingediend onder nummer WO 03/026652 (hierna: WO 652) getiteld ‘Lactam-containing compounds and derivatives thereof as factor Xa inhibitors’. De aanvraag doet een beroep op het prioriteitsdocument US 60/324165 van 21 september 2001 en bevat – onder meer – de volgende passages:
      
      
        
          BACKGROUND OF THE INVENTION 
        (…)
        
          Activated factor Xa, whose major practical role is the generation of thrombin by the limited proteolysis of prothrombin, holds a central position that links the intrinsic and extrinsic activation mechanisms in the final common pathway of blood coagulation. The generation of thrombin, the final serine protease in the pathway to generate a fibrin clot, from its precursor is amplified by formation of prothrombinase complex (factor Xa, factor V, Ca2+ and phospholipid). Since it is calculated that one molecule of factor Xa can generate 138 molecules of thrombin (Elodi, S., Varadi, K.: Optimization of conditions for the catalytic effect of the factor IXa-factor VIII
        Complex: Probable role of the complex in the amplification of blood coagulation. Thromb. Res. 1979, 15, 617-629), inhibition of factor Xa may be more efficient than inactivation of thrombin in interrupting the blood coagulation system. 
        Therefore, efficacious and specific inhibitors of factor Xa are needed as potentially valuable therapeutic agents for the treatment of thromboembolic disorders. It is thus desirable to discover new factor Xa inhibitors. (…) For example, it is preferred to find new compounds with improved factor Xa inhibitory activity and selectivity for factor Xa versus other serine proteases (i.e., trypsin). It is also desirable and preferable to find compounds with advantageous and improved characteristics in one or more of the following categories, but are not limited to: (a) pharmaceutical properties (e.g., solubility, permeability, and amenability to sustained release formulations); (b) dosage requirements (e.g., lower dosages and/or once-daily dosing); (c) factors which decrease blood concentration peak-to-trough characteristics (e.g., clearance and/or volume of distribution); (d) factors that increase the concentration of active drug at the receptor (e.g., protein binding, volume of distribution); (e) factors that decrease the liability for clinical drug-drug interactions (e.g., cytochrome P450 enzyme inhibition or induction); (f) factors that decrease the potential for adverse side-effects (e.g., pharmacological selectivity beyond serine proteases, potential chemical or metabolic reactivity, and limited CNS penetration); and, (g) factors that improve manufacturing costs or feasibility (e.g., difficulty of synthesis, number of chiral centers, chemical stability, and ease of handling).
      
      
      
        SUMMARY OF THE INVENTION 
        Accordingly, the present invention provides novel lactam-containing compounds and derivatives thereof that are useful as factor Xa inhibitors or pharmaceutically acceptable salts or prodrugs thereof.
        (…)
      
      
      
        
          UTILITY
        The compounds of this invention are inhibitors of factor Xa and are useful as anticoagulants for the treatment or prevention of thromboembolic disorders in mammals (i.e., factor Xa-associated disorders). (…)
        (…)
        
          The effectiveness of compounds of the present invention as inhibitors of factor Xa was determined using purified human factor Xa and synthetic substrate. The rate of factor Xa hydrolysis of chromogenic substrate S2222 (Kabi Pharmacia, Franklin, OH) was measured both in the absence and presence of compounds of the present invention. Hydrolysis of the substrate resulted in the release of pNA, which was monitored spectrophotometrically by measuring the increase in absorbance at 405 nm. A decrease in the rate of absorbance change at 405 nm in the presence of inhibitor is indicative of enzyme inhibition. The results of this assay are expressed as inhibitory constant, Ki. 
        Factor Xa determinations were made in 0.10 M sodium phosphate buffer, pH 7.5, containing 0.20 M NaCl, and 0.5% PEG 8000. The Michaelis constant, Km, for substrate hydrolysis was determined at 25 °C using the method of Lineweaver and Burk. Values of Ki were determined by allowing 0.2-0.5 nM human factor Xa (Enzyme Research Laboratories, South Bend, IN) to react with the substrate (0.20 mM - 1 mM) in the presence of inhibitor. Reactions were allowed to go for 30 min and the velocities (rate of absorbance change vs. time) were measured in the time frame of 25-30 min. The following relationship was used to calculate Ki values: 
        (VO-VS)/VS = I/(Ki (1+ S/Km)) 
        where: 
        VO is the velocity of the control in the absence of inhibitor; 
        VS is the velocity in the presence of inhibitor; 
        I is the concentration of inhibitor; 
        Ki is the dissociation constant of the enzyme:inhibitor complex; 
        S is the concentration of substrate; 
        Km is the Michaelis constant. 
        Compounds tested in the above assay are considered to be active if they exhibit a Ki of ≤ 10 µM. Preferred compounds of the present invention have Ki's of ≤ 1 µM. 
        More preferred compounds of the present invention have Ki's of ≤ 0.1 µM. Even more preferred compounds of the present invention have Ki's of ≤ 0.01 µM. Still more preferred compounds of the present invention have Ki's of ≤ 0.001 µM. 
        Using the methodology described above, a number of compounds of the present invention were found to exhibit Ki's of ≤ 10 µM, thereby confirming the utility of the compounds of the present invention as effective Xa inhibitors.
        (…)
        
          Some compounds of the present invention were shown to be direct acting inhibitors of the serine protease thrombin by their ability to inhibit the cleavage of small molecule substrates by thrombin in a purified system. (…)
        (…) Using the methodology described above, some compounds of this invention were evaluated and found to exhibit a Ki of less than 10 µM, thereby confirming the utility of the compounds of the present invention as effective thrombin inhibitors. 
        (…)
        
          EXAMPLES
        (…)
        
          
          Example 18 
        
        
          1-(4-methoxypheny1)-7-oxo-6-[4-(2-oxo-l-piperidinyl)phenyl-4,5,6,7-tetrahydro-1H-pyrazole-[3,4-c]pyridine-3-carboxamide
        
      
      
      
        (…)
        
          Part F. To ester from Part E (4.8 g, 0.009 mol) was added 5% NH3 in ethylene glycol (40 mL) and the mixture was heated to 120 °C for 4 h in sealed vessel. Water was added and the resulting solid was collected. Purification by silica gel chromatography using 0-10% Me0H/ CH2C12 as eluent afforded 3.5 g of a white solid. A portion of the solid was recrystallized from CH2Cl2/ EtOAc to afford 2.5 g of the title compound. The remaining solid and filtrate material was recrystallized from isopropyl alcohol to afford an additional 0.57 g for a total of 3.07 g (68%): (…)
        (…)
        
          WHAT IS CLAIMED IS:
        1.	A compound of Formula I: 
        P4-P-M-M4 
        I 
        or a stereoisomer or pharmaceutically acceptable salt thereof, wherein;(…)
        
          8.	A compound according to Claim 1, wherein the compound is selected from the group:
      
      
      
        (…)
        
          1-(4-methoxyphenyl)-7-oxo-6-[4-(2-oxo-1-piperidinyl)phenyl-4,5,6,7-tetrahydro-1H-pyrazole-[3,4-c]pyridine-3-carboxamide;
      
      
      
        (…)
        
          or a pharmaceutically acceptable salt form thereof.
      
      
    
    
      2.4.
      WO 652 is voortgezet als Europese octrooiaanvraag en uiteindelijk op 12 augustus 2009 verleend onder publicatienummer EP 1 427 415 B1 (hierna: EP 415 of het octrooi) met BMS als octrooihoudster. EP 415 was van kracht, onder meer in Nederland, tot en met 16 september 2022. 
      
    
    
      2.5.
      EP 415 is het basisoctrooi voor Aanvullend Beschermingscertificaat (NL) 300500 voor ‘Apixaban desgewenst in de vorm van een farmaceutisch aanvaardbaar zout’ (hierna: het ABC). Het ABC is ingegaan op 17 september 2022 en is van kracht tot en met 19 mei 2026.
      
    
    
      2.6.
      De ingeroepen conclusies 1-4 van EP 415 luiden in de authentieke Engelse versie als volgt: 
      
      1. A compound, which is represented by formula (1):
      
        
          
        
      
      
        or a pharmaceutically acceptable salt thereof.
      
      
      2. A compound according to claim 1, which is represented by the formula (1). 
      
      3. A pharmaceutical composition, comprising: a pharmaceutically acceptable carrier and a therapeutically effective amount of the compound of the formula (1) of claim 1 or a pharmaceutically acceptable salt thereof. 
      
      4. A pharmaceutical composition, comprising: the pharmaceutically acceptable carrier and a therapeutically effective amount of the compound of claim 2. 
      
      
        [formula 1 = apixaban, vzr]
      
      
    
    
      2.7.
      De internationale octrooiaanvraag WO 00/39131 (hierna: WO 131) van 17 december 1999 is voor EP 415 de meest nabije stand van de techniek. WO 131 is gepubliceerd op 6 juli 2000 en getiteld ‘Nitrogen containing heterobicycles as factor Xa inhibitors’. De uitvinders zijn afkomstig uit dezelfde onderzoeksgroep als de uitvinders van EP 415. WO 131 bevat – onder meer – de volgende passages:
      
      
        
          
          BACKGROUND OF THE INVENTION 
        
        (…)
        
          Activated factor Xa, whose major practical role is the generation of thrombin by the limited proteolysis of prothrombin, holds a central position that links the intrinsic and extrinsic activation mechanisms in the final common pathway of blood coagulation. The generation of thrombin, the final serine protease in the pathway to generate a fibrin clot, from its precursor is amplified by formation of prothrombinase complex (factor Xa, factor V, Ca2+ and phospholipid). Since it is calculated that one molecule of factor Xa can generate 138 molecules of thrombin (Elodi, S., Varadi, K.: Optimization of conditions for the catalytic effect of the factor IXa-factor VIII
        Complex: Probable role of the complex in the amplification of blood coagulation. Thromb. Res. 1979, 15, 617-629), inhibition of factor Xa may be more efficient than inactivation of thrombin in interrupting the blood coagulation system. 
        Therefore, efficacious and specific inhibitors of factor Xa are needed as potentially valuable therapeutic agents for the treatment of thromboembolic disorders. It is thus desirable to discover new factor Xa inhibitors. (…)
        
          
          UTILITY
        
        The compounds of this invention are useful as anticoagulants for the treatment or prevention of thromboembolic disorders in mammals.. (…) 
        (…)
        
          The effectiveness of compounds of the present invention as inhibitors of factor Xa was determined using purified human factor Xa and synthetic substrate. The rate of factor Xa hydrolysis of chromogenic substrate S2222 (Kabi Pharmacia, Franklin, OH) was measured both in the absence and presence of compounds of the present invention. Hydrolysis of the substrate resulted in the release of pNA, which was monitored spectrophotometrically by measuring the increase in absorbance at 405 nM. A decrease in the rate of absorbance change at 405 nm in the presence of inhibitor is indicative of enzyme inhibition. The results of this assay are expressed as inhibitory constant, Ki. 
        Factor Xa determinations were made in 0.10 M sodium phosphate buffer, pH 7.5, containing 0.20 M NaCl, and 0.5% PEG 8000. The Michaelis constant, Km, for substrate hydrolysis was determined at 25°C using the method of Lineweaver and Burk. Values of Ki were determined by allowing 0.2-0.5 nM human factor Xa (Enzyme Research Laboratories, South Bend, IN) to react with the substrate (0.20 mM-1 mM) in the presence of inhibitor. Reactions were allowed to go for 30 minutes and the velocities (rate of absorbance change vs time) were measured in the time frame of 25-30 minutes. The following relationship was used to calculate Ki values: 
        (VO-VS)/VS = I/(Ki (1+ S/Km)) 
        where: 
        VO is the velocity of the control in the absence of inhibitor; 
        VS is the velocity in the presence of inhibitor; 
        I is the concentration of inhibitor; 
        Ki is the dissociation constant of the enzyme:inhibitor complex; 
        S is the concentration of substrate; 
        Km is the Michaelis constant. 
        Using the methodology described above, a number of compounds of the present invention 
        were found to exhibit a Ki of <10 µM, thereby confirming the utility of the compounds of the present invention as effective Xa inhibitors. 
        Compounds tested in the above assay are considered to be active if they exhibit a Ki of ≤ 10 µM. Preferred compounds of the present invention have Ki's of ≤ 1 µM. More preferred compounds of the present invention have Ki's of ≤ 0.1 µM. Even more preferred compounds of the present invention have Ki's of ≤ 0.01 µM. Still more preferred compounds of the present invention have Ki's of ≤ 0.001 µM. 
        (…)
        
          Some compounds of the present invention were shown to be direct acting inhibitors of the serine protease thrombin by their ability to inhibit the cleavage of small molecule substrates by thrombin in a purified system. (…)
        (…) Using the methodology described above, some compounds of this invention were evaluated and found to exhibit a Ki of less than 10 µM, thereby confirming the utility of the compounds of the present invention as effective thrombin inhibitors.
      
      
    
    
      2.8.
      Bij dagvaarding van 2 juli 2021 heeft Teva Nederland B.V. voor de onderhavige rechtbank een VRO-procedure aanhangig gemaakt tegen BMS, waarin zij de vernietiging vordert van het Nederlandse deel van EP 415 en van het ABC (hierna: de VRO-procedure). Deze procedure is aangehouden hangende de uitspraak van de Grote Kamer van Beroep (hierna GKB) van het Europees Octrooibureau (EOB) inzake G 2/21. 
      
    
    
      2.9.
      Sandoz behoort tot de Sandoz-groep, die zich bezighoudt met de ontwikkeling, productie en distributie van, onder andere, generieke geneesmiddelen. Eén van die geneesmiddelen is de generieke versie van Eliquis (hierna: apixaban Sandoz).
      
    
    
      2.10.
      Sandoz heeft op 24 september 2021 marktvergunningen verkregen voor apixaban Sandoz 2,5 mg en 5 mg filmomhulde tabletten.
      
    
    
      2.11.
      Op 23 november 2021 heeft BMS aan Sandoz een waarschuwingsbrief gestuurd. Sandoz heeft bij brief van 3 december 2021 aangegeven dat zij zich gewaar is van de intellectuele eigendomsrechten van BMS en dat zij niet de intentie heeft een apixaban product in Nederland te lanceren vóór de expiratie van EP 415 en het ABC.
      
    
    
      2.12.
      Sandoz Limited en Teva Pharmaceutical Industries Limited hebben in het Verenigd Koninkrijk een bodemprocedure tegen BMS aanhangig gemaakt en gevorderd dat het Engelse deel van EP 415 (en het daarop gebaseerde parallelle Engelse ABC) nietig wordt verklaard. Op 7 april 2022 heeft Meade J van de High Court of Justice, Business and Property Courts of England and Wales (hierna: de High Court) uitspraak gedaan en beslist dat het Engelse deel van EP 415 nietig is vanwege gebrek aan plausibiliteit en technische bijdrage.
      
    
    
      2.13.
      Bij brief van 7 april 2022 heeft (de advocaat van) Sandoz aan BMS bericht dat zij van plan is om apixaban Sandoz zo snel mogelijk in Nederland op de markt brengen.
      
    
    
      2.14.
      Sandoz heeft apixaban Sandoz laten opnemen in de G-standaard van mei 2022, die op 12 april 2022 is gepubliceerd. 
      
    
    
      2.15.
      Naar aanleiding van de opname in de G-standaard is BMS in april 2022 een kort geding-procedure gestart tegen Sandoz. In die zaak is op 10 mei 2022 vonnis gewezen. De voorzieningenrechter nam aan dat er een gerede kans was dat het octrooi en het daarop gebaseerde certificaat een bodemprocedure niet zouden overleven en heeft een verbod daarom geweigerd. Kort gezegd overwoog hij dat het door BMS gestelde verbeterde effect (meer specifiek: een verbeterde remming van factor Xa door een Ki waarde in het nanomolaire bereik) niet uit de oorspronkelijke aanvrage was af te leiden, noch daarin plausibel was gemaakt, zodat dit effect niet kon worden meegewogen bij de beoordeling van inventiviteit. Bij gebreke van een verbeterd effect als toe te kennen technisch effect aan de verschilmaatregel ten opzichte van WO 131, was er volgens de voorzieningenrechter geen sprake van inventiviteit.
      
    
    
      2.16.
      Centrafarm B.V., Centrafarm Services B.V., Centrafarm Nederland B.V. en Stada Service Holding B.V. behoren alle tot de Stada-groep, die zich bezighoudt met de ontwikkeling, productie en distributie van voornamelijk generieke geneesmiddelen.  Eén van die generieke geneesmiddelen is Apixaban CF. Apixaban CF is een generieke versie van Eliquis®.
      
    
    
      2.17.
      Centrafarm c.s. heeft op 3 januari 2022 marktvergunningen verkregen voor Apixaban CF 2,5 en 5 mg. Centrafarm c.s. heeft op 7 maart 2023 aangekondigd dit product op 18 april 2023 in de G-standaard voor mei 2023 op te nemen en dat zij op 1 mei 2023 op de markt zal komen.
      
    
    
      2.18.
      Er zijn verder nietigheidsprocedures tegen buitenlandse delen van EP 415 aanhangig, onder andere in Bulgarije, Denemarken, Finland, Frankrijk, Hongarije, Ierland, Italië, Kroatië, Noorwegen, Polen, Portugal, Slowakije, Spanje, Tsjechië, Zweden en Zwitserland. In al deze landen zijn zustervennootschappen van Teva procespartij. Het Stockholms Tingsrätt, Patent- och marknadsdomstolen in Zweden heeft in een bodemzaak in eerste aanleg het Zweedse deel van EP 415 op 2 november 2022 geldig bevonden. In de Engelse vertaling is daarbij onder meer het volgende overwogen:
      
      
        According to the court, the skilled person who, with his general knowledge, took part of the patent writing would hold it too probable that apixaban was an fXa inhibitor and in the absence of anything which indicated the opposite would not find grounds for doubt. The mere absence of specific biological data would not have led the skilled person to question the function of apixaban, nor has the investigation in the case revealed anything else that would have given the skilled person reason to doubt the compound’s function as an fXa inhibitor.
      
      
      
        (…)
      
      
      
        
          The objective technical problem 
        
      
      
      
        The court has concluded above that the problem as formulated in the patent can be considered to have been solved. The objective problem the skilled person is presented with should thus be formulated as the provision of an alternative fXa inhibitor, active as anticoagulants and potentially useful as an active substance for the treatment of thromboembolic conditions.
      
      
      
        (…)
      
      
      
        In conclusion, it is the court’s assessment that the skilled person with its general knowledge, based on the content of WO 131 and faced with the problem of developing an alternative fXa inhibitor, active as an anticoagulant and potentially useful as an active substance for the treatment of thromboembolic diseases, would not have arrived at the invention according to patent claim 1.
      
      
    
    
      2.19.
      In procedures in Finland en Ierland is onlangs aan Teva als voorlopige voorziening een verbodsmaatregel opgelegd.
      
    
    
      2.20.
      In de Verenigde Staten, Canada en Korea heeft BMS met succes de geldigheid verdedigd van de betreffende aan EP '415 equivalente nationale octrooien en er werd geoordeeld dat generieke versies van Eliquis® inbreuk maken.
      
    
    
      2.21.
      Op 23 maart 2023 heeft de GKB uitspraak gedaan in de zaak G2/21 aangaande plausibiliteit. Hierna zijn enkele overwegingen uit de uitspraak opgenomen:
      
      
        
          Referred points of law
        
      
      
      
        I. By interlocutory decision T 116/18 of 11 October 2021 (hereinafter: the referring decision), Technical Board of Appeal 3.3.02 (hereinafter: the referring board) referred the following questions of law to the Enlarged Board of Appeal (hereinafter: the Enlarged Board) for decision under Article 112(1)(a) EPC in combination with Article 22 RPBA 2020:
      
      
      
        If for acknowledgement of inventive step the patent proprietor relies on a technical effect and has submitted evidence, such as experimental data, to prove such an effect, this evidence not having been public before the filing date of the patent in suit and having been filed after that date (post-published evidence):
      
      
      
        1. Should an exception to the principle of free evaluation of evidence (see e.g. G 3/97, Reasons 5, and G 1/12, Reasons 31) be accepted in that post-published evidence must be disregarded on the ground that the proof of the effect rests exclusively on the post-published evidence?
      
      
      
        2. If the answer is yes (the post-published evidence must be disregarded if the proof of the effect rests exclusively on this evidence), can the post-published evidence be taken into consideration if, based on the information in the patent application in suit or the common general knowledge, the skilled person at the filing date of the patent application in suit would have considered the effect plausible (ab initio plausibility)?
      
      
      
        3. If the answer to the first question is yes (the post-published evidence must be disregarded if the proof of the effect rests exclusively on this evidence), can the post-published evidence be taken into consideration if, based on the information in the patent application in suit or the common general knowledge, the skilled person at the filing date of the patent application in suit would have seen no reason to consider the effect implausible (ab initio implausibility)?
        (…)
        
          Reasons
        
        (…)
        56 Hence, evidence submitted by a patent applicant or proprietor to prove a technical effect relied upon for acknowledgement of inventive step of the claimed subject-matter may not be disregarded solely on the ground that such evidence, on which the effect rests, had not been public before the filing date of the patent in suit and was filed after that date.
      
      
      
        57 This, however, does not immediately lead to the answering of referred question 1 in the negative, without needing to turn to referred questions 2 and 3 because they are dependent on an affirmative answer to referred question 1. Notwithstanding the specific drafting of the referred questions, the Enlarged Board accepts that the gist of the matter underlying the present referral extends beyond the literal wording of question 1.
        (…)
      
      
      
        64 The Enlarged Board is aware of the case law cited by the referring board as examples for different approaches to the acceptance of a patent applicant’s or patent proprietor’s reliance on an asserted technical effect (see points VI.(6) to (8) above and points 13.4 to 13.6 of the Reasons for the referring decision). As the volume of decisions on the relevance of post-published evidence, such as experimental data, to prove an alleged technical effect for acknowledgement of inventive step in the context of Article 56 EPC is too big to discuss in detail, the Enlarged Board focusses on a selection of in particular more recent jurisprudence, which the development of the earlier case law appears to culminate in.
      
      
      
        [volgt een analyse van enkele beslissingen van de TKB’s aangaande inventiviteit]
      
      
      
        Intermediate conclusion
      
      
      
        70 The Enlarged Board takes note of the classification done by the referring board in respect of the case law of the boards of appeal concerning the relevance of post-published evidence to prove an asserted technical effect for acknowledgement of inventive step (see points 13.4 to 13.6 of the Reasons for the referring decision).
      
      
      
        71 However, when analysing the case law in more detail and irrespective of the conceptual terminologies for what questions 2 and 3 refer to as two distinct plausibility approaches, the Enlarged Board understands from the case law of the boards of appeal as common ground that the core issue rests with the question of what the skilled person, with the common general knowledge in mind, understands at the filing date from the application as originally filed as the technical teaching of the claimed invention.
      
      
      
        72 Applying this understanding to the aforementioned decisions, not in reviewing them but in an attempt to test the Enlarged Board's understanding, the Enlarged Board is satisfied that the outcome in each particular case would not have been different from the actual finding of the respective board of appeal. Irrespective of the use of the terminological notion of plausibility, the cited decisions appear to show that the particular board of appeal focussed on the question whether or not the technical effect relied upon by the patent applicant or proprietor was derivable for the person skilled in the art from the technical teaching of the application documents.
      
      
      
        Considerations concerning the jurisprudence regarding sufficiency of disclosure
      
      
      
        73 As noted in points 11 and 12 above, the referred questions do not require an answer to the issue of sufficiency of disclosure and Article 83 EPC. However, as the terminological notion of plausibility relied upon by the referring board in questions 2 and 3 of the referral and the reasons for it is mainly to be found in the case law of the boards of appeal with regard to the patentability requirement of sufficiency of disclosure, the Enlarged Board accepts the appropriateness of a comparative analysis and comparative considerations in this regard.
      
      
      
        74 While the issues of sufficiency of disclosure (Article 83 EPC) and inventive step (Article 56 EPC) and their assessment are clearly to be treated separately and on their own, as correctly pointed out by the referring board in point 13.3.1 of the Reasons of the referring decision, the Enlarged Board is aware of the case law in particular concerning second medical use claims where the notion of "plausibility" has been used. For such claims, the issue of reliance on post-published evidence for a purported technical effect arises in particular in the context of sufficiency of disclosure.
      
      
      
        Indeed, a technical effect, which in the case of for example a second medical use claim is usually a therapeutic effect, is a feature of the claim, so that the issue of whether it has been shown that this effect is achieved is a question of sufficiency of disclosure under Article 83 EPC.
      
      
      
        [volgt een analyse van enkele beslissingen van de TKB’s aangaande ‘sufficiency of disclosure’ (nawerkbaarheid)]
      
      
      
        Intermediate conclusion
      
      
      
        77 The reasoned findings of the boards of appeal in the decisions referred to above make clear that the scope of reliance on post published evidence is much narrower under sufficiency of disclosure (Article 83 EPC) compared to the situation under inventive step (Article 56 EPC). In order to meet the requirement that the disclosure of the invention be sufficiently clear and complete for it to be carried out by the person skilled in the art, the proof of a claimed therapeutic effect has to be provided in the application as filed, in particular if, in the absence of experimental data in the application as filed, it would not be credible to the skilled person that the therapeutic effect is achieved. A lack in this respect cannot be remedied by post-published evidence.
      
      
      
        National legal framework and jurisprudence with regard to the reliance on a technical effect for inventive step
      
      
      
        [volgt een analyse van de jurisprudentie in enkele EPO landen waaronder Nederland]
      
      
      
        Intermediate conclusion
      
      
      
        86 Like the EPC, none of the legal systems of the EPC Contracting States provide for an explicit patentability requirement for what the referring decision discusses and addresses with what is referred to in questions 2 and 3 under the term "plausibility".
      
      
      
        87 Notwithstanding the fact that the aforementioned decisions were taken on the decisive facts of the case in hand and the particular submissions made by the parties to those proceedings, the Enlarged Board recognises a certain degree of common ground that the courts of the EPC Contracting States, when confronted with the examination of an asserted technical effect in the assessment of inventive step and with the question whether a patent proprietor may rely on post-published evidence to confirm that technical effect, ponder on the technical teaching of the claimed subject-matter that the person skilled in the art, with the common general knowledge in mind, understands from the patent application.
      
      
      
        Concluding considerations
      
      
      
        88 As already mentioned in points 55 to 59 above, the proceedings under the EPC are governed by the principle of free evaluation of evidence which is also known in various EPC Contracting States with a civil law system.
      
      
      
        89 The principle of free evaluation of evidence depicts a universally applicable principle of both procedural and substantive law in assessing any means of evidence submitted by a party in proceedings under the EPC, be it an administrative department of the EPO or a board of appeal as the competent judicial body reviewing decisions of such administrative departments pursuant to Article 106(1) EPC.
      
      
      
        90 As the principle of free evaluation of evidence is enshrined in the right of each party to proceedings under EPC to give evidence in appropriate form pursuant to Articles 113(1) and 117(1) EPC, it may not be used to disregard evidence per se insofar as it is submitted and relied upon by a party in support of an inference which is challenged as to its plausibility and is decisive for the final decision.
      
      
      
        91 Hence, evidence submitted by a patent applicant or proprietor to prove a purported technical effect relied upon for acknowledgement of inventive step of the claimed subject-matter may not be disregarded solely on the ground that such evidence, on which the effect rests, had not been public before the filing date of the patent in suit and was filed after that date.
      
      
      
        92 The term "plausibility" that is found in the case law of the boards of appeal and relied upon by the referring board in questions 2 and 3 of the referral and the reasons for it, does not amount to a distinctive legal concept or a specific patent law requirement under the EPC, in particular under Article 56 and 83 EPC. It rather describes a generic catchword seized in the jurisprudence of the boards of appeal, by some national courts and by users of the European patent system.
      
      
      
        93 The relevant standard for the reliance on a purported technical effect when assessing whether or not the claimed subject-matter involves an inventive step concerns the question of what the skilled person, with the common general knowledge in mind, would understand at the filing date from the application as originally filed as the technical teaching of the claimed invention. The technical effect relied upon, even at a later stage, needs to be encompassed by that technical teaching and to embody the same invention, because such an effect does not change the nature of the claimed invention.
      
      
      
        94 Hence, a patent applicant or proprietor may rely upon a technical effect for inventive step if the skilled person, having the common general knowledge in mind, and based on the application as originally filed, would consider said effect as being encompassed by the technical teaching and embodied by the same originally disclosed invention.
      
      
      
        95 The Enlarged Board is aware of the abstractness of some of the aforementioned criteria. However, apart from the fact that the Enlarged Board, in its function assigned to it under Article 112(1) EPC, is not called to decide on a specific case, it is the pertinent circumstances of each case which provide the basis on which a board of appeal or other deciding body is required to judge, and the actual outcome may well to some extent be influenced by the technical field of the claimed invention. Irrespective of the actual circumstances of a particular case, the guiding principles set out above should allow the competent board of appeal or other deciding body to take a decision on whether or not post-published evidence may or may not be relied upon in support of an asserted technical effect when assessing whether or not the claimed subject-matter involves an inventive step.
      
      
      
        
          Order
        
      
      
      
        For these reasons it is decided that the questions of law referred to the Enlarged Board of Appeal are answered as follows:
      
      
      
        1. Evidence submitted by a patent applicant or proprietor to prove a technical effect relied upon for acknowledgement of inventive step of the claimed subject-matter may not be disregarded solely on the ground that such evidence, on which the effect rests, had not been public before the filing date of the patent in suit and was filed after that date.
      
      
      
        2. A patent applicant or proprietor may rely upon a technical effect for inventive step if the skilled person, having the common general knowledge in mind, and based on the application as originally filed, would derive said effect as being encompassed by the technical teaching and embodied by the same originally disclosed invention.
      
      
    
    
      2.22.
      
        Op 4 mei 2023 heeft de England and Wales Court of Appeal (Civil Division) uitspraak gedaan. Lord Justice Arnold gaf daarbij de unanieme opinie. De beslissing van Meade J. werd daarin bekrachtigd. Arnold analyseert naast de Engelse jurisprudentie ook de uitspraak G 2/21: 
        
          G 2/21
        
      
      43. In G 2/21 the Enlarged Board of Appeal considered three questions about the circumstances in which it was permissible to rely on post-published evidence of a technical effect in support of inventive step. The first question asked whether such evidence had to be disregarded on the ground that proof of the effect rested exclusively on the post-published evidence. The Enlarged Board’s answer was that evidence submitted by a patent applicant or proprietor to prove a technical effect relied on in support of inventive step may not be disregarded solely on the ground that such evidence had not been made public before the filing date of the patent and was filed after that date.
      44. Although the referring Board of Appeal only asked its second and third questions on the premise that the answer to the first question was yes, the Enlarged Board considered them anyway. In its decision to refer (T 116/18 Sumitomo/Insecticide compositions, unreported, 11 October 2021) the referring Board had identified what it regarded as two divergent lines of Board of Appeal case law. The first line, represented by decisions such as Johns Hopkins and BMS/Dasatinib, it labelled “ab initio plausibility”. The second line, represented by decisions such as Ipsen, it labelled “ab initio implausibility”. The distinction it saw between these two lines was that, in the first, post-published evidence could be taken into account if, based on the information in the application and the skilled person’s common general knowledge, the skilled person would have considered the technical effect plausible. In the second line, post-published evidence could be taken into account if, based on the information in the application and the skilled person's common general knowledge, the skilled person would not have considered the technical effect implausible.
      45. The Enlarged Board began its consideration of these questions by observing at [58] that it considered "the conceptional notion inherent in the term 'plausibility', which is often used as a generic catchword, as not being a distinct condition of patentability and patent validity, but a criterion for the reliance on a purported technical effect". This observation chimes with what Lord Sumption said in Warner-Lambert at [23] and [36].
      46. From [60] onwards, the Enlarged Board embarked on an analysis of the "jurisprudence regarding the reliance on a technical effect for inventive step". It began with some "general considerations", referring among other cases to Ipsen. At [66]-[68] it considered cases in the "ab initio plausibility" or "type I" line of case law identified by the referring Board, including Johns Hopkins and BMS/Dasatinib. In [69] it considered cases in the "ab initio implausibility" or "type II" line. It expressed its "intermediate conclusion" as follows:
      [volgen paragrafen 70-72 van G 2/21, zie 2.21] 
      47. In other words, the Enlarged Board regarded the two lines of case law as being reconcilable. In each case, the core question being addressed was what the technical teaching of the application was to the skilled person with the common general knowledge in mind at the filing date, and whether the technical effect relied upon by the patent applicant or proprietor was derivable from the application.
      48. Although the reference was only concerned with inventive step, at [73]-[76] the Enlarged Board considered the case law of the Boards of Appeal regarding sufficiency, in particular in the context of second medical use claims. It expressed its "intermediate conclusion" on those cases at [77] as follows:
      [volgt paragraaf 77 van G 2/21, zie 2.21] 
      49. In my view it is tolerably clear that the Enlarged Board's reference to "a claimed therapeutic effect" means a therapeutic effect which is asserted as the basis for a second medical use claim.
      50. At [78]-[85] the Enlarged Board turned to consider decisions of courts of EPC contracting states "with regard to the reliance on technical effect for inventive step". In particular, at [84]-[85] it considered judgments of the UK courts, including Warner-Lambert and the judgment under appeal in the present case. It expressed its "intermediate conclusion" as follows:
      [volgen paragrafen 86-87 van G 2/21, zie 2.21] 
      51. In other words, the Enlarged Board interpreted the decisions of the national courts as approaching matters in a similar manner to the Board of Appeal decisions which it had encapsulated in [71]-[72].
      52. At [88]-[95] the EBA set out its "concluding considerations", including the following:
      [volgen paragrafen 92-95 van G 2/21, zie 2.21] 
      53. It is clear from these observations as well as the Enlarged Board's earlier reasoning that the fundamental consideration when a court or tribunal is considering whether a claimed invention involves an inventive step is whether the technical effect asserted by the patent applicant or proprietor is derivable by the skilled person from the application as filed read with the common general knowledge. It is perhaps worth adding that this passage (and in particular the last sentence of [93]) confirms that the parties in this case were correct to agree that the issues of inventive step and sufficiency should be assessed by reference to the Application and not the Patent.
      
        [Na de analyse van de jurisprudentie, past Arnold deze toe op de zaak:]
        
          BMS's case on plausibility
        
      
      81. Prior to trial BMS was ordered to, and did, serve a statement of its case on plausibility which it subsequently amended in minor respects. It is not necessary for present purposes to set this out, but for reasons that will appear it is important to note that there was no averment that the skilled team reading the Application with the benefit of their common general knowledge would interpret the Application as disclosing (whether explicitly or implicitly) that apixaban (or any compounds of the invention) had been tested and found to have nanomolar Kis
      (…)
      90. Before turning to consider these grounds, it is important to note that BMS does not contend that the invention claimed in claim 1 of the Patent involved an inventive step and was sufficiently disclosed in the Application on the basis that the technical problem solved, and the technical contribution made, by the invention was merely the identification of a new chemical compound. On the contrary, BMS contends that the claimed invention involves an inventive step and was sufficiently disclosed because apixaban is an effective factor Xa inhibitor, as has subsequently been confirmed.
      
        Grounds 1-4
      
      91. These grounds can be considered together since they are essentially alternative submissions. The starting point here is that it is common ground that the majority judgment in Warner-Lambert is binding on this Court at least in cases involving claims to second medical uses, and it is not suggested by BMS that G 2/21 would justify this Court in departing from Warner-Lambert in such a case. Equally, however, it is common ground that there is a factual difference between Warner-Lambert and the present case since claim 1 of the Patent is a claim to a single chemical compound. The question is whether that factual difference means that the present case is legally distinguishable from Warner-Lambert, as BMS argues.
      92. In my judgment the answer to that question is no. (…)
      
        Ground 5
      
      98. The Claimants object that this ground raises a new case which was not advanced below, and argue that BMS should not be given permission to advance the new case on appeal because it would have affected the evidence given at trial. Counsel for BMS denied that the case was a new one. He did not argue that, if it was new, BMS should nevertheless be permitted to advance it on appeal. The judge's view, as he made clear when BMS applied to him for permission to appeal, was that BMS had not advanced any case that the Application impliedly disclosed that apixaban had a nanomolar Ki at trial. This Court should be slow to question the judge's view given that he was best placed to know what case BMS ran at trial, but in any event I consider he was plainly correct and that this is a new case. As noted above, BMS's statement of case on plausibility did not aver that the skilled team reading the Application with the benefit of their common general knowledge would interpret the Application as disclosing (whether explicitly or implicitly) that apixaban (or any compounds of the invention) had been tested and found to have nanomolar Kis. Nor did BMS adduce any evidence to that effect, put that proposition to any of the Claimants' witnesses or advance such a case in submissions. Instead, the case which BMS advanced at trial was that the Application impliedly disclosed that apixaban had been tested and found to have a Ki of <10 µM.
      99. I would add that this ground cannot assist BMS anyway. If the judge was correct that the Application did not impliedly disclose that apixaban had been tested and found to have a Ki of <10 µM, as I consider that he was for the reasons explained below, it necessarily follows that it did not impliedly disclose that apixaban had been tested and found to have a nanomolar Ki.
      
        Ground 6
      
      100. Ground 6 amounts to a bald assertion that the judge was wrong in his evaluation of plausibility. As BMS's own submissions to the judge correctly recognised, however, plausibility involves a multi-factorial evaluation. It follows that this Court is only justified in intervening if the judge has made an error of law or principle: compare Actavis Group PTC EHF v ICOS Corp [2019] UKSC 15, [2019] Bus LR 1318 at [78]-[81] (Lord Hodge) and see Re Sprintroom Ltd [2019] EWCA Civ 932, [2019] BCC 1031 at [72]-[78] (McCombe, Leggatt and Rose LJJ). Counsel for BMS sought to get round this difficulty by arguing that the limited matters which BMS now relied upon merely involved interpretation of the Application and thus could be reviewed by this Court. I accept this point so far as the passage at page 170 line 28-32 is concerned, but counsel for BMS made no serious attempt to argue that the judge had misinterpreted that passage.re Rather, he concentrated his submissions on Example 18, and in particular the statements I have highlighted in paragraph 74 above. He stressed that much more of apixaban was made than was reported in any other Example and that a second recrystallisation step was performed unlike in any other Example.
      101. There is no dispute as to what Example 18 says, however, or what the highlighted statements mean. The issue is what the skilled team would think the patentee's reason was for making 3 g of apixaban given that no explanation is given in the Application. Counsel for BMS argued that the skilled team would infer that this was because early results had been favourable and the patentee wanted to take work on the compound forwards. The problem with this argument is that the judge made a finding, based on the expert evidence, that the skilled team reading Example 18 would think that, although that was a possible explanation, there were other possible reasons why the patentee had made such a large quantity of apixaban. Counsel for BMS did not submit that the judge's finding as to the existence of other possible reasons which would occur to the skilled reader based on their common general knowledge and their reading of the Application was not open to him on the evidence. It follows that the skilled team would not draw the inference for which BMS contend. I would add that BMS's argument presupposes that the patentee had carried out a prior synthesis of apixaban to that reported in Example 18, whereas there is no hint of that in the Application.
      102. Counsel for BMS also argued that the judge had not taken into account the second recrystallisation performed in Example 18. It is true that the judge did not mention this, but it does not assist BMS. It is clear from Example 18 that the extra step of recrystallisation was performed in order to increase the yield. Thus this adds nothing of substance to the disclosure that a much greater quantity of apixaban was made than of any other compound.
      103. It follows that the judge made no error in his assessment of the significance of Example 18. Indeed, I agree with it.
      104. Counsel for BMS's final argument was that the judge had failed to consider the combined effect of the passage at page 170 lines 28-32 and Example 18. This argument goes nowhere for two reasons. First, the judge explicitly considered the cumulative effect of the points relied upon by BMS and held that the whole was no greater than the sum of the parts.
      105. Secondly, as the judge rightly held, there is nothing in the Application to link the assay results briefly summarised at page 170 lines 28-32 with apixaban. Apixaban may have been one of the compounds tested, but it may not. One does not know because, for whatever reason, the Application does not identify which compounds have been tested, nor does it reveal the actual results which have been obtained. Thus the Application does not disclose either expressly or impliedly that apixaban has been tested and found to have Ki of <10 µM (let alone nanomolar Ki). In the absence of any theory based on e.g. its structure or any data in the specification, there is simply nothing in the Application to support the assertion that apixaban is a factor Xa inhibitor, let alone a factor Xa inhibitor of sufficient potency to be useful in therapy. The assertion is not plausible because the Application gives the skilled team no reason for thinking that there is a reasonable prospect that the assertion will prove to be true. It is therefore speculative. It follows that the invention claimed in claim 1 of the Patent made no technical contribution to the art. It is irrelevant that BMS subsequently proved that the assertion was well founded and limited the claim to apixaban.
      
        Conclusion
      
      106. For the reasons given above I would dismiss this appeal. 
      
    
  
  
    
      3Het geschil in beide zaken
    
    
      3.1.
      BMS vordert een inbreukverbod en een verbod tot onrechtmatig handelen door aan te zetten tot inbreuk, met nevenvorderingen (opgave, recall en rectificatie) en met veroordeling van Sandoz/Centrafarm in de volledige proceskosten.
      
    
    
      3.2.
      Ter onderbouwing van haar (neven)vorderingen stelt BMS – samengevat – dat Apixaban Sandoz en Apixaban CF voldoen aan de kenmerken van conclusies 1 tot en met 4 van EP 415 alsmede onder het ABC vallen. Door de opname in de mei-editie 2022 respectievelijk 2023 van de G-standaard en de verhandeling sedertdien is er een concrete dreiging van directe inbreuk (dan wel handelt Sandoz/Centrafarm onrechtmatig ten opzichte van BMS), waarmee BMS recht heeft op en belang bij de voorlopige maatregelen.
      
    
    
      3.3.
      Sandoz/Centrafarm voert verweer en betoogt onder meer dat EP 415 ongeldig is vanwege gebrek aan inventiviteit. EP 415 betreft een selectie-uitvinding, daar het een verbinding onder bescherming stelt (die later de stofnaam apixaban heeft gekregen) die in WO 131 al is geopenbaard (als een van de mogelijkheden van de daarin beschreven Markush-formules). In de oorspronkelijke aanvraag (WO 652) is het technisch effect van apixaban niet plausibel gemaakt, laat staan een ten opzichte van de in WO 131 geopenbaarde groep verbindingen verrassend effect. Daarmee is er een gerede kans dat de Nederlandse rechter in een bodemprocedure het Nederlandse deel van EP 415 nietig zal verklaren (evenals het daarop gebaseerde ABC), zodat de vorderingen van BMS moeten worden afgewezen, aldus Sandoz/Centrafarm. Voorts verzoekt Sandoz/Centrafarm BMS te veroordelen in de volledige en evenredige kosten van het geding op de voet van  artikel 1019h Rv, te voldoen binnen vijf werkdagen na de datum van dit vonnis, bij gebreke waarvan voormeld bedrag wordt vermeerderd met de wettelijke rente als bedoeld in artikel 6:119 BW vanaf de zesde werkdag na datum van dit vonnis tot de dag van volledige betaling.
      
    
    
      3.4.
      Op de stellingen van partijen wordt hierna, voor zover van belang, nader ingegaan. 
      
      
    
  
  
    
      4De beoordeling in beide zaken
    Bevoegdheid
    
    
      4.1.
      De voorzieningenrechter van deze rechtbank is internationaal (en relatief) bevoegd van de vorderingen in beide zaken kennis te nemen op grond van artikel 4 Brussel I bis-Vo en artikel 80 lid 2 onder a ROW 1995, aangezien Sandoz/Centrafarm in Nederland is gevestigd. In reconventie is de voorzieningenrechter bevoegd op grond van artikel 8 lid 3 Brussel I bis-Vo. De bevoegdheid in conventie en in reconventie is overigens niet bestreden zodat er tevens bevoegdheid is op basis van artikel 26 lid 1 Brussel I bis-Vo.
      
      
        
          Kader
        
      
      
    
    
      4.2.
      Vooropgesteld wordt dat de in dit kort geding te hanteren maatstaf hierin bestaat dat een verbod achterwege moet blijven indien er een gerede (dat is een serieuze, niet te verwaarlozen) kans aanwezig is dat de vordering in een bodemprocedure wordt afgewezen. Sandoz/Centrafarm heeft in haar verweer de geldigheid van EP 415 aan de orde gesteld. De vraag is derhalve of er een gerede kans bestaat dat het Nederlandse deel van EP 415 in een bodemprocedure (de VRO-procedure) nietig wordt bevonden. In beide zaken ligt diezelfde kwestie voor en is een vergelijkbaar debat gevoerd, zodat aanleiding bestaat voor een gecombineerde beoordeling.
      
    
    
      4.3.
      Er ligt met het vonnis van de High Court in de bodemprocedure (zie onder 2.12) een beslissing van een gezaghebbende buitenlandse rechter. Daarin is het Engelse deel van EP 415 nietig verklaard op vergelijkbare nietigheidsargumenten die in de onderhavige procedures zijn ingenomen. Dit vonnis is voorts in beroep bekrachtigd. De Nederlandse kortgedingrechter moet zich een eigen oordeel vormen over de gevoerde nietigheidsverweren, waarbij BMS in de onderhavige procedure onder andere heeft gesteld dat de Nederlandse rechter gehouden is een minder strenge maatstaf te hanteren in de plausibiliteitsdiscussie dan de Engelse rechter, zodat niet is uit te sluiten dat dat tot een andere uitkomst zou leiden. Maar dat neemt niet weg dat de beslissingen in het vonnis van de High Court en de Court of Appeal een rol spelen bij de vraag naar de gerede kans dat EP 415 in een bodemprocedure in Nederland nietig wordt bevonden en dat BMS met overtuigende argumenten moet komen voor het voorshands aannemen van geldigheid van het octrooi. Hierbij komt dat BMS jegens Sandoz reeds op 10 mei 2022 over dezelfde inbreuk op hetzelfde octrooi/ABC in kort geding in het ongelijk is gesteld (zie r.o. 2.15). Zij ziet in de uitspraak G 2/21 van de GKB argumenten om opnieuw een verbod te vorderen op basis van hetzelfde octrooi. 
      
      
        
          Geldigheid EP 415
        
      
      
      
        
          Plausibiliteit technische effect
        
      
      
    
    
      4.4.
      Partijen houdt vooral verdeeld of in de oorspronkelijke aanvrage van EP 415 enig voordelig of verrassend effect plausibel moet worden gemaakt met betrekking tot de verbeterde remming van factor Xa door (het in conclusie 1 van EP 415 onder bescherming gestelde) apixaban en zo ja, of de aanvrage dat ook doet. Dit speelt tegen de achtergrond van de vraag of het in conclusies t/m 4 van het octrooi geclaimde inventief is. Sandoz/Centrafarm voert namelijk aan dat als er uit de aanvrage geen voordelig of verrassend effect van apixaban is af te leiden, die aanvrage/de gestelde uitvinding geen ‘technical contribution’ heeft, met andere woorden, niets toevoegt aan de stand van de techniek. Als het uiteindelijk verleende octrooi wel iets (meer) leert over dat voordelige of verrassende effect, zou sprake zijn van toegevoegde materie. De voorzieningenrechter overweegt als volgt.
      
    
    
      4.5.
      De vraag of er een vereiste van plausibiliteit in de door Sandoz/Centrafarm bedoelde zin aan de aanvraag is te stellen en zo ja, hoe dat vereiste invulling moet worden gegeven, is – zoals partijen hebben onderkend – voorgelegd aan de GKB in de zaak G 2/21. Die uitspraak is inmiddels gewezen (zie hiervoor r.o. 2.21) en vormt voor BMS de aanleiding om thans opnieuw in kort geding een verbod te vorderen jegens Sandoz. De voorzieningenrechter heeft in het kader van het eerdere kort geding de in Nederland reeds op dit punt gewezen jurisprudentie uiteen gezet. Gemakshalve wordt daarnaar verwezen. 
      
    
    
      4.6.
      De vraag is of de beslissing van G 2/21 verandering brengt in het op 10 mei 2022 gegeven voorlopige oordeel. Naar het oordeel van de voorzieningenrechter is dat in deze zaken niet het geval. Na grondige bestudering van de uitspraak G 2/21 komt het de voorzieningenrechter voor dat de GKB de bestendige lijn van TKB rechtspraak omarmt. Die lijn wordt in paragraaf 72 samengevat als dat het technische effect “derivable” moet zijn uit de aanvrage (voor de leesbaarheid hierna nogmaals weergegeven):
      
      
        72 Applying this understanding to the aforementioned decisions, not in reviewing them but in an attempt to test the Enlarged Board’s understanding, the Enlarged Board is satisfied that the outcome in each particular case would not have been different from the actual finding of the respective board of appeal. Irrespective of the use of the terminological notion of plausibility, the cited decisions appear to show that the particular board of appeal focussed on the question whether or not the technical effect relied upon by the patent applicant or proprietor was derivable for the person skilled in the art from the technical teaching of the application documents.
      
      
    
    
      4.7.
      Na een intermezzo (of zo men wil: obiter dictum) over sufficience of disclosure bij tweede medische indicatie-uitvindingen, destilleert de GKB die lijn ook als “common ground” uit de nationale jurisprudentie. Zie paragraaf 87:
      
      
        87 Notwithstanding the fact that the aforementioned decisions were taken on the decisive facts of the case in hand and the particular submissions made by the parties to those proceedings, the Enlarged Board recognises a certain degree of common ground that the courts of the EPC Contracting States, when confronted with the examination of an asserted technical effect in the assessment of inventive step and with the question whether a patent proprietor may rely on post-published evidence to confirm that technical effect, ponder on the technical teaching of the claimed subject-matter that the person skilled in the art, with the common general knowledge in mind, understands from the patent application.
      
      
    
    
      4.8.
      Arnold komt overigens tot een zelfde analyse van G 2/21, namelijk dat het technische effect “derivable” moet zijn uit de aanvrage. Zie de conclusie die hij in nr. 53 trekt: 
      
      
        It is clear from these observations as well as the Enlarged Board's earlier reasoning that the fundamental consideration when a court or tribunal is considering whether a claimed invention involves an inventive step is whether the technical effect asserted by the patent applicant or proprietor is derivable by the skilled person from the application as filed read with the common general knowledge. (…)
      
      
    
    
      4.9.
      Die toets toepassend, heeft de voorzieningenrechter reeds geoordeeld dat het technische effect dat apixaban een verbeterde remmer is van factor Xa niet uit de aanvrage is af te leiden. Ten beste leidt de gemiddelde vakpersoon eruit af dat de daarin beschreven verbindingen geschikt zijn als factor Xa remmer (waarover hierna r.o. 4.16 e.v.v.). 
      
    
    
      4.10.
      Dit wordt niet anders door de in de order (het dictum) van G 2/21 (en in enkele overwegingen daarvoor, paragrafen 93 en 94) gebezigde terminologie dat de “skilled person, having the common general knowledge in mind, and based on the application as originally filed, would derive said effect as being encompassed by the technical teaching and embodied by the same originally disclosed invention”. De GKB licht niet toe dat, waarom noch hoe dit criterium anders is dan hetgeen zij als voormelde lijn uit de TKB (en, wellicht iets minder duidelijk, uit de besproken nationale) jurisprudentie heeft gedestilleerd. 
      
    
    
      4.11.
      Niettemin stelt BMS in deze zaken dat deze terminologie ruimer moet worden begrepen, in die zin dat de GKB daarmee zou voorstaan dat een uit de aanvrage onbekend technisch effect mee kan wegen voor inventiviteit omdat dit “encompassed” is door de “technical teaching” van het octrooi, zolang overigens dit technische effect maar uit post-published bewijs blijkt. De aanvrage van EP 415 openbaart immers (in elk geval) dat de verbindingen, waarbij de stof met de structuurformule van apixaban één van de (140) “preferred embodiments” is, “useful” factor Xa-remmers zijn. Als dat als technische leer (“technical teaching”) van de aanvrage zou worden beschouwd, is denkbaar dat een verbeterde geschiktheid (“usefulness”) als factor Xa remmer in die technische leer ligt besloten of daardoor wordt omvat (“encompassed”). De logica van BMS is dan kennelijk dat onder bruikbaar (“useful”) ook geschikter (“more useful”) valt. 
      
    
    
      4.12.
      Zelfs indien met BMS een dergelijke ruimere uitleg van de bewoordingen van de ‘order’ van de GKB in G2/21 zou worden aangenomen, kan het voormelde effect naar voorlopig oordeel nog altijd niet worden meegewogen voor inventiviteit. BMS gaat namelijk voorbij aan de andere eis die de GKB stelt in de order, namelijk dat het technische effect “embodied by the same disclosed invention” moet zijn. De voorzieningenrechter begrijpt dat BMS bij dit argument voor het begrippenpaar ‘dezelfde uitvinding (“same invention”) als bedoeld in de order van G 2/21 een ruimere definitie wil hanteren dan zoals verstaan in een andere beslissing van de GKB (G 2/98), waarbij kort gezegd de disclosure-test of gold standard toepasselijk werd geacht. Dan nog helpt dit BMS niet. Voorshands oordelend, is het vinden van een stof met verbeterde factor Xa-remming immers niet dezelfde uitvinding als het vinden van (slechts) een voor remming van factor Xa bruikbare stof. De technische leer (“technical teaching”) van de aanvrage van EP 415 behelst uitsluitend het vinden van een bruikbare stof; dat die stof ook een verbeterde factor Xa-remming moet hebben, ligt daarin niet besloten. De laatste is een duidelijk van de eerste te onderscheiden uitvinding die afzonderlijk te octrooieren is. Het vinden van een voor factor Xa-remming bruikbare stof was reeds ontsloten in de stand van de techniek (WO 131), waarin dezelfde paragrafen over “useful” zijn te vinden. Het vinden van een verbeterde factor Xa-remmer (met een Ki in het nanomolaire bereik) tussen al die bruikbare stoffen is een speurtocht die een van die stand van de techniek te onderscheiden inventieve stap oplevert, zoals ook BMS stelt (ware dit anders dan zou de selectie van apixaban overigens om die reden al geen uitvinding zijn). 
      
    
    
      4.13.
      Ook het pleidooi van BMS (1.16 pleitnota) dat het begrip ‘uitvinding’  (“invention”) in G2/21 zo moet worden uitgelegd dat hieronder moet worden verstaan de “subject matter claimed”, helpt haar niet. Daargelaten dat de voorzieningenrechter een aansluiten bij het begrip “same invention” uit G 2/98 meer in de rede vindt liggen, is er een belangrijk materieel verschil tussen de uitvinding/materie die wordt geclaimd in de aanvrage en die in het verleende octrooi. In de aanvrage zijn immers vele verbindingen geclaimd (volgens Sandoz/Centrafarm onweersproken honderd quadriljoen, 1x1025 in verschillende Markush formules, 140 voorbeelden en duizenden “representative examples”), waarvan vele logischerwijs ook helemaal geen verbeterde remming van factor Xa vertonen (conclusie van antwoord Sandoz, randnummer 214, onweersproken door BMS) tegenover de selectie van uitsluitend apixaban in het octrooi zoals verleend. Voor een verbeterde werking van apixaban vindt de gemiddelde vakpersoon in hetgeen in de aanvrage wordt geclaimd, geen voldoende aanwijzing (zoals uitgelegd in het vonnis van 10 mei 2022).
      
    
    
      4.14.
      Minst genomen had daarom, zoals ook reeds opgemerkt in het vonnis van 10 mei 2022, naar voorlopig oordeel in de aanvrage iets kunnen en moeten worden opgenomen over dat er gunstige Ki’s (in het nanomolaire bereik) waren gevonden bij de geselecteerde verbindingen, in het bijzonder apixaban, zodat een gemiddelde vakman ook getriggerd zou zijn geweest om die verbindingen te selecteren voor een test. Dit geldt temeer omdat thans in de aanvrage eigenlijk alleen maar een wens tot nanomolaire Ki’s is opgeschreven en voorts dat Ki’s tot in het micromolaire bereik waren gevonden, verre van interessant derhalve. Hoewel het uiteindelijk verleende octrooi enkel nog ziet op apixaban, staat (dus) ook daarin nog altijd niet met zoveel woorden waarom die verbinding zo interessant is. Dat een en ander doet geweld aan de zogenaamde quid pro quo of patent bargain in het octrooirecht (de aanvrager verkrijgt zijn monopolie in ruil voor openbaarmaking van de uitvinding).
      
    
    
      4.15.
      Dat betekent dat om dezelfde redenen als weergegeven in het eerste kort geding vonnis, het door BMS gestelde effect van verbeterde remming van factor Xa niet kan worden meegewogen. 
      
      
        
          Verschaffing van verdere factor Xa-remmer
        
      
      
    
    
      4.16.
      Nieuw in deze kort gedingen is de stelling van BMS dat het octrooi (en ABC) ook zonder dat een verbeterde werking als technisch effect wordt aangenomen, inventief is. BMS verwoordt het op te lossen probleem dan als het verschaffen van een verdere factor Xa remmer. Als de voorzieningenrechter het Zweedse vonnis goed begrijpt (zie r.o. 2.18), is dat de grond waarop het octrooi met ABC aldaar geldig is geoordeeld. De voorzieningenrechter verwerpt dat betoog evenwel.
      
    
    
      4.17.
      Reeds in Agrevo (T 939/92), waar ook Meade J aan refereerde in nr. 29 van zijn uitspraak, is erop gewezen dat in dit verband niet snel sprake zal zijn van een uitvinding: 
      
    
    
      2.5.
      Using the above approach of the Boards, and having regard to the cited state of the art, in this case the Board considers that, if the claimed compounds were to be assumed not to have any technically useful property, then it could be postulated that the technical problem which is solved by the claimed compounds (or, in other words, the technical result achieved by them, on the basis of which the question of inventive step has to be decided), would be the minimalist one in such a situation, namely the mere provision of further (or alternative) chemical compounds as such, regardless of their likely useful properties.
      
      
        2.5.1.
        Although the Board is not convinced that, in the absence of any technically useful properties, the claimed compounds could be regarded as being a technical invention at all (see decision T 22/82 ,OJ EPO 1982, 341, No. 6 of the reasons, where it was held that a chemical compound was not patentable merely because it potentially enriched chemistry, and that structural originality had no intrinsic value or significance for the assessment of inventive step as long as it did not manifest itself in a valuable property in the widest sense, an effect or an increase in the potency of an effect), the Board has nevertheless examined whether the notional person skilled in the art would have considered the claimed compounds as a solution of such a hypothetical "technical problem".
        
      
      
        2.5.2.
        In this context, the Appellant submitted that the skilled person would have faced thousands of possibilities of solving this problem, since even on the basis of known starting compounds and known synthetic methods, a practically unlimited number of chemical compounds would have had to be considered, and that a particular selection from this unlimited number of possibilities should be regarded as inventive, even if it was arbitrary, unless there was a direct pointer to the preparation of just these very compounds in the state of the art.
        
      
      
        2.5.3.
        This argument must, however, fail, since in the Board's judgment the answer to the question as to what a person skilled in the art would have done depends on the result he wished to obtain, as explained in point 2.4.2 above. If this result is only to be seen in obtaining further chemical compounds, then all known chemical compounds are equally suitable as the starting point for structural modification, and no inventive skill needs to be exercised in selecting, for instance, the compound of formula XIV of D3 for this purpose. Consequently, all structurally similar chemical compounds, irrespective of their number, that a skilled person would expect, in the light of the cited prior art, to be capable of being synthesised, are equally suitable candidates for solving such a hypothetical "technical problem", and would therefore all be equally "suggested" to the skilled person. It follows from these considerations that a mere arbitrary choice from this host of possible solutions of such a "technical problem" cannot involve an inventive step (see also e.g. T 220/84 of 18 March 1986, No. 7 of the reasons). In other words, the Board holds that, in view of the underlying general legal principle set out in point 2.4.2 above, the selection of such compounds, in order to be patentable, must not be arbitrary but must be justified by a hitherto unknown technical effect which is caused by those structural features which distinguish the claimed compounds from the numerous other compounds. This consideration is also in line with a number of previous decisions of the Boards of Appeal of the EPO, such as for example decision T 01/80 (OJ EPO 1981, 206, No. 6 to 8 of the reasons). In the case T 119/82 (OJ EPO 1984, 217), where in considering the argument that a person skilled in the art would neither consider nor propose an alternative process for preparing a known product which is "exotic" or even disadvantageous, the deciding Board reached a similar conclusion, holding that a chemical process was not obvious only when the skilled person would have seen all its advantages, but also when he could clearly see its disadvantages or would not expect any improvement, provided that his assessment of the totality of the consequences was indeed correct (see reasons No. 16).
        
      
    
    
      4.18.
      Nadat door Sandoz hierop bij antwoord was gewezen en was aangevoerd dat bij een selectieuitvinding sprake moet zijn van een nieuw of onverwacht effect, is BMS daarop niet teruggekomen noch heeft zij dit ontzenuwd. Haar gehele pleidooi over geldigheid, met uitzondering van voetnoot 39, is over de uitleg van G 2/21 gegaan.
      
    
    
      4.19.
      Ook overigens is niet door BMS gesteld noch valt dit in te zien dat uitgaande van WO 131 het selecteren of synthetiseren van de stof apixaban op bijzondere moeilijkheden stuitte.
      
      
        
          Conclusie en proceskosten
        
      
      
    
    
      4.20.
      De slotsom luidt dat geen sprake is van inventiviteit en er zodoende een gerede kans is dat het octrooi (met het ABC) in de bodemprocedure, net als in het Verenigd Koninkrijk door Meade J en de Court of Appeal, voor nietig zal worden gehouden. Hierop stranden de vorderingen van BMS.
      
    
    
      4.21.
      BMS zal als de in het ongelijk gestelde partij worden veroordeeld in de proceskosten. Deze zijn te begroten volgens artikel 1019h Rv. Partijen hebben in beide zaken afgesproken dat de proceskosten € 60.000,- (per zaak) bedragen, zodat daarvan wordt uitgegaan. De kosten aan de zijde van Sandoz/Centrafarm worden daarom begroot op elk € 60.676,- (€ 60.000,- + € 676,- griffierecht), te vermeerderen met de gevorderde wettelijke rente. 
      
    
  
  
    
      5De beslissing
    De voorzieningenrechter
    
    
      in de zaak C/09/644989 KG ZA 23-240 
    
    
    
      5.1.
      wijst de vorderingen af;
      
    
    
      5.2.
      veroordeelt BMS in de kosten van het geding, tot op heden aan de zijde van Sandoz begroot op € 60.676,-, één en ander te voldoen binnen vijf werkdagen na de datum van dit vonnis en – voor het geval voldoening van de kosten niet binnen de gestelde termijn plaatsvindt – te vermeerderen met de wettelijke rente als bedoeld in artikel 6:119 BW over de kosten te rekenen vanaf de zesde werkdag na de datum van dit vonnis tot aan de dag van volledige betaling;
      
    
    
      5.3.
      verklaart de proceskostenveroordeling uitvoerbaar bij voorraad;
      
      
        en in de zaak C/09/644996 KG ZA 23-244
      
      
    
    
      5.4.
      wijst de vorderingen af;
      
    
    
      5.5.
      veroordeelt BMS in de kosten van het geding, tot op heden aan de zijde van Centrafarm c.s. begroot op € 60.676,-, één en ander te voldoen binnen vijf werkdagen na de datum van dit vonnis en – voor het geval voldoening van de kosten niet binnen de gestelde termijn plaatsvindt – te vermeerderen met de wettelijke rente als bedoeld in artikel 6:119 BW over de kosten te rekenen vanaf de zesde werkdag na de datum van dit vonnis tot aan de dag van volledige betaling;
      
    
    
      5.6.
      verklaart de proceskostenveroordeling uitvoerbaar bij voorraad;
      
      
      
        Dit vonnis is gewezen door mr. E.F. Brinkman en in het openbaar uitgesproken op 17 mei 2023.
      
    
  
  
     Door partijen is aangegeven dat zij een afspraak hiertoe hadden gemaakt.
  
  
     Door partijen is aangegeven dat zij een afspraak hiertoe hadden gemaakt.
  
  
     Pag. 1, regel 14.
  
  
     Pag. 5, regel 21 tot en met pag. 6, regel 9.
  
  
     Pag. 6, regel 12 tot en met pag. 7, regel 5.
  
  
     Pag. 168, regel 14 tot en met 18.
  
  
     Pag. 169, regel 22 tot en met pag. 170, regel 32.
  
  
     Pag. 171, regel 31 tot en met 34.
  
  
     Pag. 172, regel 17 tot en met 21.
  
  
     Pag. 188, regel 27.
  
  
     Pag. 220, regel 1 tot en met 5.
  
  
     Pag. 222, regel 16 tot en met 25.
  
  
     Pag. 316, regel 1 tot en met 6.
  
  
     Pag. 376, regel 11 en 12.
  
  
     Pag. 377, regel 34 tot en met 36.
  
  
     Pag. 384, regel 26.
  
  
     Niet in geschil is dat de verbinding van example 18 in WO 652 valt binnen de eerste, tweede, derde, vierde, achtste en negende uitvoeringsvorm in WO 131.
  
  
     Pag. 1, regel 11.
  
  
     Pag. 2, regel 11 tot en met 24.
  
  
     Pag. 263, regel 1 tot en met 3.
  
  
     Pag. 263, regel 11 tot en met pag. 264, regel 10.
  
  
     Pag. 264, regel 32 tot en met pag. 265, regel 1.
  
  
     Pag. 265, regel 13 tot en met 16.
  
  
     [2022] EWHC 822 (Pat) te vinden op http://www.bailii.org/ew/cases/EWHC/Patents/2022/822.html
  
  
    
      ECLI:NL:RBDHA:2022:4385 (https://deeplink.rechtspraak.nl/uitspraak?id=ECLI:NL:RBDHA:2022:4385)
    
  
  
     ECLI:EP:BA:2023:G000221.20230323
  
  
    Sandoz Ltd v Bristol-Myers Squibb Holdings Ireland Unlimited Company (Re Patent - Plausibility when determining validity) [2023] EWCA Civ 472 (04 May 2023)
  
  
     Burgerlijk Wetboek
  
  
     Verordening (EU) 1215/2012 van het Europees Parlement en de Raad van 12 december 2012 betreffende de rechterlijke bevoegdheid, de erkenning en de tenuitvoerlegging van beslissingen in burgerlijke en handelszaken
  
  
     Vergelijk Vzr Rb Den Haag 10 december 2021, ECLI:NL:RBDHA:2021:13616 (https://uitspraken.rechtspraak.nl/inziendocument?id=ECLI:NL:RBDHA:2021:13616&keyword=ECLI:NL:RBDHA:2021:13616), r.o. 4.6 en 4.7.
  
  
     De voorzieningenrechter realiseert zich dat er voor Sandoz, partij bij het eerdere kort geding, en Centrafarm c.s., geen partij, strikt genomen formeel verschillende juridische criteria kunnen gelden. Materieel komt het echter wel op deze vraag neer in beide zaken. Voor zover nodig verwijst de voorzieningenrechter in de zaak tegen Centrafarm c.s. naar het vonnis van 10 mei 2022 en beschouwt dit als hier herhaald en ingelast.
  
  
     De voorzieningenrechter merkt op dat er overigens veel voor te zeggen is als men voor de “same invention” in deze context wel de disclosure-test of gold standard van G 2/98 zou toepassen, omdat de order van de GKB in G 2/21 dan logisch zou congrueren met de overwegingen waarbij zij de analyse van de TKB en nationale jurisprudentie samenvat (paragrafen 71, 72 en 87).
  
  
     In zijn uitspraak van 10 mei 2022, r.o. 6.6, overwoog de voorzieningenrechter nog dat ook BMS ervan uitging dat “als er geen technisch effect kan worden meegewogen geen sprake is van inventiviteit (dgv nr. 8.22).”
  
  
    
      ECLI:EP:BA:1995:T093992.19950912 van 12 september 1995