Licensing Programs for Sucrochemical Inventions - ACS Symposium

24 Licensing Programs for Sucrochemical Inventions

Downloaded by TUFTS UNIV on February 22, 2018 | https://pubs.acs.org Publication Date: June 1, 1977 | doi: 10.1021/bk-1977-0041.ch024

WILLARD MARCY Research Corp., 405 Lexington Ave., New York, N.Y. 10017

S u c r o s e i s a v a l u a b l e component o f e v e r y o n e ' s d i e t and i s u t i l i z e d b y t h e body t o p r o d u c e e n e r g y f o r e v e r y day l i v i n g . I t s many d e r i v a t i v e s , h o w e v e r , h a v e f o u n d l i t t l e use e i t h e r f o rfoods o r as chemical b u i l d i n g blocks. S i n c e t h e s u c r o s e m o l e c u l e h a s a number o f r e a c t i v e primary and secondary a l c o h o l c e n t e r s and can be t r a n s f o r m e d e a s i l y i n t o f o r m s o r m o i e t i e s h a v i n g anhydro, a l d e h y d i c , k e t o n i c and a c i d i c p r o p e r t i e s , i t s h o u l d be an a t t r a c t i v e c h e m i c a l raw m a t e r i a l from w h i c h a v a r i e t y o f u s e f u l p r o d u c t s c o u l d be o b t a i n e d . In a d d i t i o n , s u c r o s e i s w i d e l y a v a i l a b l e i n v e r y l a r g e q u a n t i t i e s , b e i n g o b t a i n e d from e c o l o g i c a l l y a t t r a c t i v e n a t u r a l s o u r c e s , sugar cane and sugar b e e t s . I t s p r i c e , i n pure form, however, i s r e l a t i v e l y h i g h and s u b j e c t t o r a t h e r s e v e r e f l u c t a t i o n s due t o environment a l , economic and p o l i t i c a l i n f l u e n c e s . B e c a u s e s u c r o s e c o n t a i n s t h e s e many r e a c t i v e c e n t e r s , n e a r l y e v e r y c h e m i c a l r e a c t i o n t o w h i c h i t c a n be subjected r e s u l t s i n product mixtures containing large numbers o f l e s s e r d e s i r e d compounds. This situation, i n t u r n , makes i t d i f f i c u l t a n d c o s t l y t o s e p a r a t e products w i t h r e p r o d u c i b l e p r o p e r t i e s from t h e r e a c t i o n mix. I n a d d i t i o n , a large percentage o f t h e o r i g i n a l sucrose molecule i n e v i t a b l y i s wasted. Some d e r i v a t i v e s o f sucrose a r e e d i b l e and m e t a b o l i z a b l e . These d e r i v a t i v e s c a n p e r f o r m a number o f u s e f u l f u n c t i o n s r e l a t i n g t o o t h e r foods and m e d i c i n e . I n these uses s u c r o s e d e r i v a t i v e s m u s t be shown t o be e f f i c a c i o u s and n o n - t o x i c t o t h e s a t i s f a c t i o n o f t h e Food a n d Drug Administration authorities. This requires the performance o f l a r g e s c a l e a n i m a l a n d c l i n i c a l t e s t i n g a t h i g h c o s t s a n d much t i m e . Nonetheless, the possible use o f s u c r o s e as an a t t r a c t i v e commercial raw m a t e r i a l had i n t r i g u e d a number o f s c i e n t i s t s f o r a l o n g t i m e . One o f t h e s e , D r . H e n r y B. H a s s f i n a l l y h a d a n o p p o r 328

Hickson; Sucrochemistry ACS Symposium Series; American Chemical Society: Washington, DC, 1977.


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Licensing Programs for Inventions

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t u n i t y t o e x p l o i t h i s c o n c e p t s when i n 1 9 5 2 , he was e l e c t e d P r e s i d e n t of the Sugar Research Foundation, now known a s t h e I n t e r n a t i o n a l S u g a r R e s e a r c h F o u n d a t i o n , Inc. That year dates the b i r t h o f "sucrochemi s t r y " , a w o r d c o i n e d b y D r . H a s s t o d e s c r i b e t h i s new investigative discipline. B a s i c c h e m i c a l r e s e a r c h , b e s t done i n a c a d e m i c i n s t i t u t i o n s o r b y c o n t r a c t r e s e a r c h o r g a n i z a t i o n s , was needed f i r s t i n o r d e r t o o b t a i n s u c r o c h e m i c a l s o f the n a t u r e e n v i s i o n e d by Dr. H a s s . Thus, e a r l y work i n s u c r o c h e m i s t r y was f u n d e d b y t h e S u g a r R e s e a r c h F o u n d a t i o n i n such r e s e a r c h l a b o r a t o r i e s . An e x p l o r a t o r y p r o j e c t o r i e n t e d towards d i s c o v e r i n g the fundamental c h e m i s t r y o f s u c r o s e and o t h e r c a r b o h y d r a t e s had been supported p r e v i o u s l y at the Massachusetts I n s t i t u t e of T e c h n o l o g y f r o m 1943 t o 1 9 5 0 . The m a i n p u r p o s e o f t h e p r o j e c t , h o w e v e r , was t o t r a i n c a r b o h y d r a t e c h e m i s t s and t o a p p l y c l a s s i c a l c a r b o h y d r a t e c h e m i s t r y more b r o a d l y t o s u c r o s e and i t s c l o s e r e l a t i v e s . None o f t h e d e r i v a t i v e s p r o d u c e d a n d s t u d i e d w e r e f o u n d t o be of p r a c t i c a l importance i n l a t e r s u c r o c h e m i c a l s t u d i e s , a l t h o u g h a number o f p a t e n t a p p l i c a t i o n s were f i l e d and patents issued. Some o f t h e s e s t u d i e s w e r e c o n t i n u e d i n s e v e r a l o t h e r l a b o r a t o r i e s d u r i n g the e a r l y 1950's, and a n u m b e r o f a d d i t i o n a l s t u d i e s were u n d e r t a k e n t o e l u c i d a t e the r e l a t i v e r e a c t i v i t i e s of the v a r i o u s r e a c t i v e e n t i t i e s , d e t e r m i n e r e a c t i o n k i n e t i c s and t o t r y t o make new a n d p o s s i b l y u s e f u l d e r i v a t i v e s . An i n t e n s i v e s e a r c h was u n d e r t a k e n t o f i n d m u t u a l s o l v e n t s f o r b o t h h y d r o p h i l i c s u c r o s e and h y d r o p h o b i c r e a c t a n t s . Sucrose

E s t e r s and

Licensing Policy

Sucrose e s t e r s were t h e s u b j e c t o f t h e f i r s t major s u c r o c h e m i c a l s t u d i e s s t a r t i n g i n 1952. I t was felt t h a t t h e s e m a t e r i a l s m i g h t be g o o d d e t e r g e n t s , e a s y t o p r o d u c e i n e x p e n s i v e l y , n o n - t o x i c and b i o d e g r a d a b l e . C o n s e q u e n t l y , a l a r g e e x p e n d i t u r e was made i n s e v e r a l l a b o r a t o r i e s and a number o f c o m m e r c i a l l y a t t r a c t i v e compounds were p r o d u c e d . B e g i n n i n g i n e a r l y 1955, p a t e n t a p p l i c a t i o n s were f i l e d i n the U n i t e d S t a t e s a n d o v e r 20 f o r e i g n c o u n t r i e s . These c o n t a i n e d c l a i m s b o t h t o p r o d u c t s and p r o c e s s e s . The p a t e n t s t h a t i s s u e d w e r e a s s i g n e d t o t h e F o u n d a t i o n a n d became t h e b a s i s f o r the f i r s t i n t e n s i v e l i c e n s i n g e f f o r t . The m e c h a n i c s o f l i c e n s i n g s u c r o c h e m i c a l s b a s i c a l l y i s no d i f f e r e n t f r o m l i c e n s i n g o t h e r c h e m i c a l s . However, s p e c i a l problems i n l i c e n s i n g t h e s e m a t e r i a l s a r i s e from the nature o f t h e i r c h e m i c a l s t r u c t u r e , t h e i r method o f m a n u f a c t u r e , t h e commercial u s e s t o



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w h i c h t h e y c a n be p u t a n d t h e c h a r a c t e r o f t h e p o t e n tial licensees. As t h e s u g a r i n d u s t r y t r a d i t i o n a l l y i s g e a r e d t o p r o d u c e s u g a r f r o m a g r i c u l t u r a l raw m a t e r i a l s f o r d i r e c t e d i b l e c o n s u m p t i o n , l i t t l e o r no a t t e n t i o n h a d been p a i d by t h e i n d i v i d u a l c o m p a n i e s i n t h e i n d u s t r y to the chemical c o n v e r s i o n of sugar t o s u c r o c h e m i c a l s . S i m i l a r l y , s i n c e t h e c h e m i c a l i n d u s t r y had n o t contemp l a t e d u s i n g , nor d i d i t have d i r e c t a c c e s s t o s u c r o s e as a raw m a t e r i a l , c h e m i c a l c o m p a n i e s , l i k e w i s e , n e v e r have d e v e l o p e d s u c r o c h e m i c a l p r o d u c t s i n any a p p r e c i a b l e way. T h u s , when p r o c e s s e s f o r c o m m e r c i a l l y p r o d u c i n g s u c r o c h e m i c a l s became k n o w n , n e i t h e r t h e s u g a r i n d u s t r y n o r t h e c h e m i c a l i n d u s t r y was i n a p o s i t i o n t o u t i l i z e t h e new k n o w l e d g e . Both i n d u s t r i e s r e q u i r e d a m a s s i v e e d u c a t i o n a l e f f o r t , one w h i c h s t i l l i s g o ing on. In a d d i t i o n , w h i l e Sugar R e s e a r c h F o u n d a t i o n had g i v e n c o n s i d e r a b l e t h o u g h t t o p a t e n t o w n e r s h i p and a patent l i c e n s i n g p o l i c y , f i r m , w e l l thought out implem e n t i n g p r o c e d u r e s had n o t been e s t a b l i s h e d . Some p r a c t i c a l e x p e r i e n c e , however, had been o b t a i n e d from t h e p a t e n t i n g and l i c e n s i n g o f a s t e r i l e i n v e r t i n v e n t i o n d i s c o v e r e d under Sugar Research Foundation f u n d i n g i n the l a t e 1940's. T h i s m a t e r i a l was s u i t a b l e f o r i n t r a v e n o u s f e e d i n g , and p a t e n t s had b e e n a p p l i e d f o r . K e e n i n t e r e s t i n o b t a i n i n g l i c e n s e s was shown b y s e v e r a l d r u g c o m p a n i e s a n d a l i c e n s e was i s s u e d t o B a x t e r L a b o r a t o r i e s i n 1950, T h i s l i c e n s e gave t h e F o u n d a t i o n an o p p o r t u n i t y t o use a p a t e n t and l i c e n s i n g p o l i c y f i r s t d e v e l o p e d i n 1947. T h i s p o l i c y s t a t e d t h a t the Foundation should own p a t e n t s r e s u l t i n g f r o m r e s e a r c h w o r k s p o n s o r e d by i t , s h o u l d c h a r g e r o y a l t i e s f o r a n y l i c e n s e u n d e r any p a t e n t i t owned, and s h o u l d l i c e n s e any r e s p o n s i b l e a p p l i c a n t on a n o n - e x c l u s i v e b a s i s . The p o l i c y was t h o u g h t t o s e r v e t w o p u r p o s e s : 1) t o e n s u r e t h a t t h e r e s u l t s w o u l d be u s e d t o f u r t h e r t h e i n t e r e s t s o f t h e i n d u s t r y a n d t o b e n e f i t t h e p u b l i c , a n d 2) t o o b t a i n f u l l e x p l o i t a t i o n o f t h e d i s c o v e r y and g i v e a m p l e opportunity to demonstrate i t s usefulness i n p r a c t i c e . The l i c e n s e t o B a x t e r , h o w e v e r , was made e x c l u s i v e f o r 4.5 y e a r s a n d n o n e x c l u s i v e t h e r e a f t e r , u n t i l t h e e x p i r a t i o n o f any i s s u e d p a t e n t . The r a t i o n a l e f o r t h e l i m i t e d e x c l u s i v e p e r i o d was t h a t s u c h p r o t e c t i o n was n e c e s s a r y a n d d e s i r a b l e t o i n d u c e B a x t e r t o i n v e s t t h e s u b s t a n t i a l t i m e a n d money n e c e s s a r y t o d e v e l o p t h e p r o d u c t and c r e a t e a m a r k e t . Baxter, subsequently r e q u e s t e d an e x t e n s i o n o f t h e e x c l u s i v e p e r i o d w h i c h was e v e n t u a l l y g r a n t e d f o r e x p i r a t i o n i n December, 1957.



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The l i c e n s e t h e n became n o n e x c l u s i v e a n d r e m a i n e d i n e f f e c t u n t i l t h e p a t e n t f i n a l l y e x p i r e d i n 1973. B a x t e r ' s s t e r i l e i n v e r t p r o d u c t was q u i c k l y a c c e p t e d and e n j o y e d i n c r e a s i n g s a l e s volume d u r i n g t h e l i f e o f t h e l i c e n s e and t h e p r o d u c t i s c u r r e n t l y w e l l e s t a blished for intravenous feeding. The p r a c t i c a l e x p e r i e n c e o b t a i n e d f r o m t h e p a t e n t i n g and l i c e n s i n g o f s t e r i l e i n v e r t p r o v i d e d a f i r m b a s i s f o r t h e e x p e c t e d , more e x t e n s i v e p a t e n t i n g and l i c e n s i n g program i n the s u c r o c h e m i c a l a r e a . I n 1957, t h e F o u n d a t i o n r e v i s e d and r e f i n e d i t s p o l i c i e s as a r e s u l t o f a two-year s t u d y by a s p e c i a l committee. While r e a f f i r m i n g the major tenets of the e a r l i e r p o l i c y , i t was d e c i d e d t o a d o p t s t a n d a r d l i c e n s e f o r m s f o r b o t h d o m e s t i c and f o r e i g n l i c e n s e s , t o p r o h i b i t t h e g r a n t i n g o f e x c l u s i v e l i c e n s e s and p r e f e r e n t i a l t r e a t ment i n n o n e x c l u s i v e l i c e n s e s t o F o u n d a t i o n members, and t o p r o v i d e f o r s h a r i n g r o y a l t i e s w i t h i n v e n t o r s i n educational i n s t i t u t i o n s but not w i t h Foundation s t a f f members o r e m p l o y e e s o f c o m m e r c i a l l a b o r a t o r i e s w h i c h may h a v e h a d f u n d e d s u p p o r t f r o m t h e F o u n d a t i o n . This r e v i s e d p o l i c y f i r s t was e m p l o y e d i n l i c e n s i n g t h e s u g ar e s t e r s and has g o v e r n e d a l l s u b s e q u e n t p a t e n t i n g and l i c e n s i n g by t h e F o u n d a t i o n . I t s t i l l i s in effect today. The p r i n c i p a l t e r m s o f t h e s t a n d a r d l i c e n s e r e l a t i n g to sugar e s t e r detergents i n c l u d e n o n e x c l u s i v i t y , an i n i t i a l n o m i n a l p a y m e n t o n e x e c u t i o n o f t h e l i c e n s e , a r u n n i n g r o y a l t y o f 2% o f n e t s a l e s v a l u e o f p r o d u c t s p r o d u c e d u n d e r t h e l i c e n s e , and a minimum a n n u a l r o y a l t y payment. D u r i n g 1956, t h e f i r s t y e a r o f l i c e n s i n g a c t i v i t y , f o u r d o m e s t i c and t h r e e f o r e i g n l i c e n s e s were concluded even w h i l e most p a t e n t a p p l i c a t i o n s were s t i l l pending. I n s u b s e q u e n t y e a r s a number o f a d d i t i o n a l l i c e n s e e s were o b t a i n e d , b o t h i n t h e U n i t e d S t a t e s and i n f o r e i g n c o u n t r i e s , b u t a number o f t h e o r i g i n a l l i c e n s e e s t e r m i n a t e d t h e i r agreements. A t t h e p r e s e n t t i m e , 20 y e a r s a f t e r t h e o r i g i n a l f i l i n g and t h e y e a r i n w h i c h t h e p a t e n t s e x p i r e , s u crose e s t e r s are being produced commercially i n Japan and F r a n c e u n d e r t h e o r i g i n a l s u g a r e s t e r p a t e n t s . R e c e n t l y , a s u g a r company i n E n g l a n d has i n t r o d u c e d s u g a r e s t e r s made b y a d i f f e r e n t p r o p r i e t a r y p r o c e s s , but l i c e n s e s from Sugar Research Foundation are not required. The m a j o r l i c e n s e e i n t h e U n i t e d S t a t e s , a f t e r s p e n d i n g a g r e a t d e a l o f t i m e and e f f o r t on t e c h n i c a l r e s e a r c h a n d d e v e l o p m e n t a n d m a r k e t i n g r e s e a r c h , was u n a b l e t o o b t a i n Food and Drug A d m i n i s t r a t i o n c l e a r a n c e f o r i t s c o n t e m p l a t e d p r o d u c t s and d i s c o n t i n u e d i t s i n -


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t e r e s t i n producing marketable products. While i t s t i l l i s p o s s i b l e t h a t widespread use o f the sucrose e s t e r s w i l l develop i n the United S t a t e s i n f u t u r e y e a r s , t h e two m a j o r d e t e r r e n t s w h i c h w i l l n e e d t o be o v e r c o m e a r e c o s t s r e l a t i v e t o c o m p e t i n g , p e t r o c h e m i c a l l y - b a s e d p r o d u c t s a n d FDA c l e a r a n c e f o r c e r t a i n f o o d and n o n - f o o d u s e s . The l a t t e r p r o b l e m a r i s e s as a r e s u l t o f t h e s o l v e n t used i n t h e manufacture of the e s t e r s . In Japan, both these f a c t o r s are l e s s i m p o r t a n t and, i n F r a n c e , the use i s i n a n i m a l f e e d a d d i t i v e s where o n l y s m a l l amounts a r e r e q u i r e d and c l e a r a n c e i s n o t n e c e s s a r y . I t a l s o h a s b e e n d i s c o v e r e d t h a t , u n l i k e t h e comp e t i n g f a t t y a l c o h o l s u l p h o n a t e s , the sugar e s t e r s hyd r o l y z e e x t e n s i v e l y d u r i n g the c r u t c h i n g o p e r a t i o n used in formulating detergents. Further treatment of the esters with propylene oxide i s claimed to a l l e v i a t e t h i s p r o b l e m , b u t a d d i t i o n a l r e s e a r c h and d e v e l o p m e n t work i s needed t o p r o v e t h i s . Sucrose

B a s e d P o l y m e r s and

Other D e r i v a t i v e s

S i n c e s u c r o s e m i g h t seem t o be a n i d e a l monomer i n p o l y m e r i z a t i o n r e a c t i o n s , a very l a r g e v a r i e t y of react i o n s of t h i s type have been i n v e s t i g a t e d i n Sugar Research Foundation supported p r o j e c t s . I n the 1940's, e t h y l e n e o x i d e was c o m b i n e d w i t h s u c r o s e , b u t t h e p r o ducts obtained d i d not lend themselves d i r e c t l y t o commercial development. The f i r s t i n t e n s i v e e f f o r t s to produce polymers o c c u r r e d c o n c u r r e n t l y w i t h the sugar e s t e r d e t e r g e n t a c t i v i t i e s i n the 1950's. These e f f o r t s i n c l u d e d s t u d i e s of the p o l y m e r i z a t i o n of suc r o s e w i t h u r e a , v i n y l a c e t a t e , p h e n o l and formaldehyde, ammonia a n d h y d r o g e n , m e l a m i n e a n d f o r m a l d e h y d e a n d many o t h e r v a r i a t i o n s . P o l y m e r i c m a t e r i a l s b a s e d on s u c r o s e a l s o have been p r o d u c e d by u t i l i z i n g t h e f r e e r e a c t i v e groups o f s u c r o s e p a r t i a l e s t e r s , a c e t a l s and e t h e r s . Copolymerization of these d e r i v a t i v e s with other e s t e r s , a c y l or anhydro d e r i v a t i v e s , d i e p o x i d e s , v a r i o u s vegetable o i l s , and c y a n o e t h y l e t h e r s h a v e p r o d u c e d d r y i n g o i l s , t e x t i l e f i n i s h i n g a g e n t s , a d h e s i v e s , and p o l y m e r s s u i t a b l e f o r f o r m i n g i n t o f i l m s and f i b e r s . Sucrochemic a l s , s u c h as a l l y l s u c r o s e and s u c r o s e c a r b o n a t e , can be made t o f o r m h a r d s u r f a c e c o a t i n g s . Sucrose-based p o l y u r e t h a n e s have r e c e i v e d a l s o e x t e n s i v e i n v e s t i g a tion. A number o f m e t a l d e r i v a t i v e s o f s u c r o s e h a v e b e e n made a n d t e s t e d a s a n t i m i c r o b i a l s , p e s t i c i d e s a n d f u n g i cides. Some o f t h e s e a l s o h a v e b e e n t e s t e d a s c h e l a t -



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i n g agents and as i n t e r m e d i a t e s i n t h e p r o d u c t i o n o f o t h e r e t h e r s and e s t e r s . Polyhalogenated sucroses h a v e b e e n made a n d t h e i r u s e s p e r s e a n d a s c h e m i c a l i n t e r m e d i a t e s have been i n v e s t i g a t e d . Both o x i d a t i o n and r e d u c t i o n o f t h e s u c r o s e m o l e c u l e h a v e b e e n s t u d i e d , as w e l l as o t h e r d e r i v a t i v e s o f s u c r o s e , t h e s u l f a t e s , phosphates and s u l f o n a t e s . Many s u c r o c h e m i c a l s a r e a k i n t o f i n e o r g a n i c chemi c a l s , p h a r m a c e u t i c a l s a n d o r g a n i c i n t e r m e d i a t e s . The major economic a t t r a c t i v e n e s s o f s u c r o c h e m i c a l s both t o p r o d u c e r and u s e r , however, w o u l d be f o r l a r g e volume c h e m i c a l p r o d u c t s , s u c h a s d e t e r g e n t s , a n i m a l o r human foods, p l a s t i c s , f i l m s or f i b e r s . For these uses, s u c r o c h e m i c a l s would compete w i t h s i m i l a r and analogous i n t e r m e d i a t e s a n d c h e m i c a l s made f r o m p e t r o l e u m , a s i t u a t i o n w h i c h p u t s s u c r o c h e m i c a l s g e n e r a l l y i n an economically unfavorable l i g h t . F o r s u c c e s s f u l comp e t i t i o n w i t h p e t r o c h e m i c a l s , s u c r o c h e m i c a l s must have s p e c i a l p r o p e r t i e s o r be u s e f u l i n s p e c i a l ways. This l i m i t s t h e i r volume o f s a l e s and a t t r a c t i v e n e s s as p r o f i t generating products. P a t e n t i n g and L i c e n s i n g S u c r o c h e m i c a l through Research Corporation

Inventions

As t h e number and t y p e o f s u c r o c h e m i c a l s r e s u l t i n g from Sugar Research F o u n d a t i o n S t u d i e s p r o l i f e r a t e d and became m o r e c o m p l e x , t h e c o s t a n d s t a f f t i m e s p e n t o n p a t e n t and l i c e n s i n g m a t t e r s a l s o i n c r e a s e d s u b s t a n t i a l l y , and t h e n e e d f o r a d d i t i o n a l h e l p became a p p a r e n t . C o n s e q u e n t l y , i n 1960, Sugar Research F o u n d a t i o n and R e s e a r c h C o r p o r a t i o n , a n o n - p r o f i t , t a x exempt f o u n d a t i o n with considerable p r i o r experience i n these areas, concluded a p a t e n t a s s i s t a n c e agreement. This arrangement p r o v i d e d t h a t e v a l u a t i o n , p a t e n t i n g a n d l i c e n s i n g of i n v e n t i o n s a r i s i n g as a r e s u l t o f Sugar Research F o u n d a t i o n s u p p o r t were t o be u n d e r t a k e n by R e s e a r c h C o r p o r a t i o n a t i t s expense. Any income r e s u l t i n g from t h i s a c t i v i t y w o u l d be d i s t r i b u t e d between t h e two f o u n d a t i o n s and t h e i n v e n t o r s . The e x i s t i n g l i c e n s e s c o v e r i n g s t e r i l e i n v e r t and sugar e s t e r s were t r a n s f e r r e d t o R e s e a r c h C o r p o r a t i o n and f u t u r e e f f o r t s t o l i cense t h e s e and any o t h e r s u c r o c h e m i c a l i n v e n t i o n s were t o be h a n d l e d by R e s e a r c h C o r p o r a t i o n . E a r l y i n t h e 1960's, however, due t o a p o l i c y c h a n g e a t S u g a r R e s e a r c h F o u n d a t i o n , i t was d e c i d e d v i r t u a l l y t o discontinue f u r t h e r general support of sucrochemical studies, at least temporarily. Nonethel e s s , s t u d i e s o f a number o f p o l y m e r i z a t i o n r e a c t i o n s were c o n t i n u e d i n Great B r i t a i n and Canada, s u p p o r t e d


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p r i n c i p a l l y b y f u n d s p r o v i d e d b y i n d u s t r i a l members i n those c o u n t r i e s . The p r o d u c t s and p r o c e s s e s r e s u l t ing from t h e i r work, on e v a l u a t i o n , d i d n o t appear t o lead t o patentable or commercially a t t r a c t i v e products. The l e v e l o f e x p e r i m e n t a l w o r k w a s i n c r e a s e d somewhat i n t h e f i r s t h a l f o f t h e 1970's and p a t e n t a p p l i c a t i o n s have been f i l e d on f o u r o f t h e most r e c e n t d e velopments. Of t h e s e , one p r o b a b l y i s e c o n o m i c a l l y i m p r a c t i c a l , one i s m a r g i n a l l y a t t r a c t i v e c o m m e r c i a l l y a n d t h e o t h e r t w o e v e n t u a l l y may l e a d t o m a r k e t a b l e products. Licensing o f these probably w i l l f o l l o w the g e n e r a l p a t t e r n p r o v i d e d by t h e sugar e s t e r s w i t h , perhaps, t h e added f e a t u r e o f a l i m i t e d e x c l u s i v i t y to encourage investment o f adequate funds and t e c h n i c a l support by t h e l i c e n s e e s . R e v i e w i n g t h e l a s t t w e n t y y e a r s o f w o r k , i t seems apparent t h a t , w h i l e t h e chemistry o f sucrose i s i n triguing s c i e n t i f i c a l l y , the fate of sucrochemicals i n the m a r k e t p l a c e depends on economic and p o l i t i c a l f a c t o r s and c o m p e t i t i o n from p e t r o c h e m i c a l l y - b a s e d products. I f a n d when p e t r o l e u m b e c o m e s s c a r c e a n d c o s t l y as a raw m a t e r i a l , sucrochemicals d e r i v e d from a n a t u r a l , e v e r - a v a i l a b l e a g r i c u l t u r a l source probably w i l l be a b l e t o f i l l market needs q u i t e w e l l . In the meantime, t h e s e m a t e r i a l s w i l l f i n d l i m i t e d uses i n s p e c i a l t y markets, probably a t slowly increasing rates, thus p r o v i d i n g l i c e n s i n g o p p o r t u n i t i e s f o r the i n d u s t r y supported, I n t e r n a t i o n a l Sugar Research Foundation,Inc. and l i c e n s i n g , m a n u f a c t u r i n g a n d m a r k e t i n g o p p o r t u n i t i e s f o r t h e sugar i n d u s t r y i t s e l f .

Abstract Sucrochemical patents present special licensing problems for several reasons; (1) chemicals based on sucrose usually are complex mixtures rather than pure chemical compounds, (2) they frequently can be used in foods or for cosmetic formulation thus requiring FDA clearances, (3) the same materials can be used for a wide range of applications such as animal feeds, human nutrition, polymers, coatings, agricultural chemicals, wood impregnation, antifungal and antibacterial agents and (4) they are costly compared to similar competitive petrochemical derivatives. This paper discusses both successful and unsuccessful licensing efforts by Research Corporation and the International Sugar Research Foundation, Inc. over the past 20 years, involving sucrochemicals developed under the long-term research program supported by that Foundation.


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Biographic Notes Willard Marcy, Ph.D., Vice Pres. - Patents. Educated at Mass. Inst. Tech. Became Asst. Supt. at the Amstar Corp. in 1937, rejoined Amstar as Chem. Eng. R & D in 1949, left in 1964 as Head - Process and Dev. to become Dir. and Vice Pres. - Patents. The Research Corp., 405 Lexington Ave., New York, N.Y. 10017 U.S.A.


Licensing Programs for Sucrochemical Inventions - ACS Symposium

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