Warner v. Amgen Inc.
CourtCourt of Appeals for the First Circuit
Date FiledOctober 9, 2026
Docket25-1268
StatusPublished
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Full Opinion
United States Court of Appeals
For the First Circuit
No. 25-1268
ELISSA E. WARNER, as Personal Representative of the Estate of
Decedent Lucas Joseph Warner,
Plaintiff, Appellant,
v.
AMGEN INC.; AMGEN USA INC.,
Defendants, Appellees,
NOVARTIS INSTITUTE FOR BIOMEDICAL RESEARCH, INC.,
Defendant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF MASSACHUSETTS
[Hon. Julia E. Kobick, U.S. District Judge]
Before
Montecalvo, Lipez, and Kayatta,
Circuit Judges.
Abbye R. K. Ognibene, with whom Thomas M. Sobol, Mark T.
Vazquez, and Hagens Berman Sobol Shapiro LLP were on brief, for
appellant.
Jessica L. Ellsworth, with whom Lauren S. Colton, Maria R.
Durant, Johannah Cassel-Walker, and Hogan Lovells US LLP were on
brief, for appellees.
October 9, 2026
KAYATTA, Circuit Judge. This appeal arises out of a
wrongful death suit concerning the prescription medication
Aimovig, a biologic manufactured by Amgen Inc. and Amgen U.S.A.
Inc. (collectively, "Amgen") for the prevention of migraines.
Lucas Warner, who had a history of seizures and cerebrovascular
disease, died at the age of twenty-five from cerebrovascular
complications after taking a single dose of Aimovig. His mother,
Elissa Warner,1 challenged under state law the adequacy of the
drug's label as originally approved by the U.S. Food and Drug
Administration (FDA, or the "agency"). The district court
dismissed Warner's complaint, finding her claims preempted by the
Federal Food, Drug, and Cosmetic Act (FDCA), 21 U.S.C. §§ 301
et seq. The court also denied Warner leave to amend her complaint
to include allegations that Amgen should have supplemented its
label after it was initially approved but before Lucas received
the drug, finding that such an amendment would be futile.
We affirm the district court's dismissal of Warner's
original complaint but reverse the court's decision to deny Warner
leave to amend her complaint. Our reasoning follows.
1 For consistency with the proceedings below, we refer to
Lucas Warner as "Lucas" and his mother as "Warner."
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I.
A.
We begin with the regulatory framework underpinning this
appeal. In 1962, Congress amended the FDCA, "shift[ing] the
burden of proof" for drug safety and labeling "from the FDA to the
manufacturer." Wyeth v. Levine, 555 U.S. 555, 567 (2009). Under
the amended FDCA, a manufacturer seeking FDA approval of a license
to market a drug must "demonstrate that its drug [is] safe for use
under the conditions prescribed, recommended, or suggested in the
proposed labeling before it [can] distribute the drug." Id.
(citation modified); 21 U.S.C § 355(b)(1). Prior to marketing a
pharmaceutical drug, a manufacturer must submit a new drug
application (NDA) that meets the requirements for FDA approval
promulgated under 21 C.F.R. § 314.50(c). See Wyeth, 555 U.S. at
566; 21 C.F.R. § 314.50.
Aimovig is a biologic product. Biologic
products -- which include viruses, vaccines, blood components,
allergenic products, and proteins -- are a "type of drug," though
they are "derived from natural, biological sources" rather than
"synthesized from chemicals" like typical drugs. Sandoz Inc. v.
Amgen Inc., 582 U.S. 1, 6 (2017); see also 42 U.S.C. § 262(i)(1)
(defining "biological product"). 2 Like other drugs, biologic
2 The parties use the term "biologic product," whereas the
statute and regulations refer to "biological product[s]." See 42
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products are regulated under the FDCA. 42 U.S.C. § 262(j). The
licensing of biologic products is nevertheless governed primarily
by section 351 of the Public Health Service Act (PHSA), 42 U.S.C.
§ 262.3 Thus, rather than submit an NDA to obtain permission to
market a new drug, a biologic manufacturer must instead submit to
the FDA a Biologics License Application (BLA) under the PHSA. 21
C.F.R. § 601.2(a).
Notwithstanding the differing regulatory authorities for
licensing biologics versus other drugs, for our purposes the
approval process and the implications of that process are
materially the same. Compare id., with 21 C.F.R. § 314.50.
Manufacturers submitting a BLA are required, among other things,
to "submit data derived from nonclinical laboratory and clinical
studies which demonstrate that the manufactured product meets
prescribed requirements of safety, purity, and potency." 21
C.F.R. § 601.2(a). And they cannot market the drug until the FDA
approves both the drug and its label. 42 U.S.C. § 262(a); see
U.S.C. § 262(i)(1); 21 C.F.R. § 601.2(a). For purposes of this
appeal, we use the terminology of the parties and refer to Aimovig
as a "biologic" or "biologic product."
3 See Frequently Asked Questions About Therapeutic
Biological Products, FDA (May 16, 2024),
https://www.fda.gov/drugs/therapeutic-biologics-applications-
bla/frequently-asked-questions-about-therapeutic-biological-
products [https://perma.cc/64F7-6BSQ] (noting that "[b]iological
products are a subset of drugs" that are "regulated under
provisions of the [FDCA]," but "only biological products are
licensed under section 351 of the [PHSA]").
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also In re Celexa & Lexapro Mktg. & Sales Pracs. Litig., 779 F.3d
34, 35–36 (1st Cir. 2015) (explaining that "[t]he FDA will not
approve a drug," and thus the drug cannot be marketed, "if the NDA
or [supplemental NDA] lacks substantial evidence that the drug
will have the effect it purports or is represented to have," but
"[a]fter approval, the manufacturer may distribute the drug
without violating federal law as long as it uses the FDA-approved
label" (citation omitted)).
The FDA's process for reviewing a BLA submission and
determining the appropriate content of a biologic's label involves
(1) an FDA review committee that "[p]articipates in the labeling
review to ensure the content and formatting of the label comply
with requirements per applicable regulations"; (2) a regulatory
project manager who oversees and coordinates the labeling review;
(3) a clinical reviewer who "[e]nsures [the] accuracy of
clinically relevant product information in the labeling"; (4) a
clinical pharmacology reviewer who "[e]nsures [the] accuracy of
mechanism of action statements, pharmacodynamics,
pharmacokinetics, and information on the impact of age, sex, and
race in the labeling"; (5) a chemistry manufacturing and control
reviewer who "[e]nsures [the] accuracy of chemistry and
manufacturing product information provided in the labeling";
(6) an advertising and promotional labeling branch reviewer who
"[e]nsures the information in the labeling is not false or
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misleading to the target audience(s)"; (7) a statistician; and
(8) a non-clinical toxicologist reviewer. FDA Ctr. for Biologics
Evaluation & Rsch., SOPP 8412: Review of Product Labeling 5–6
(2026), https://www.fda.gov/media/81790/download [https://perma.
cc/TY7V-H59X]. The review committee is further tasked with
"[c]omplet[ing] a thorough review of the labeling," meeting with
the BLA applicant (in this case, the manufacturer), "identify[ing]
labeling revisions," and "[s]end[ing] . . . revision requests" to
the manufacturer. Id. at 8–9. When the manufacturer revises the
draft labeling, the review committee and the regulatory project
manager work together to confirm that the changes are consistent
with the agency's requested revisions. Id. at 9.
Pursuant to FDA regulations, the contents of a drug label
must include, in order (and among other things):
(1) prominent "boxed" warnings about risks
that may lead to death or serious injury;
(2) contraindications describing any
situation in which the drug should not be used
because the risk of use outweighs any
therapeutic benefit;
(3) warnings and precautions about other
potential safety hazards; and
(4) any adverse reactions for which there is
some basis to believe a causal relationship
exists between the drug and the occurrence of
the adverse event.
Merck Sharp & Dohme Corp. v. Albrecht, 587 U.S. 299, 304 (2019)
(quoting 21 C.F.R § 201.57(c)). The order in which these
categories must appear is far from random; rather, "the category
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in which a particular risk appears on a drug label is an indicator
of the likelihood and severity of the risk." Id. With this
"hierarchy of label information," the FDA assures that "more
important information" is not "overshadowed" by "less important
information." Id. (citation modified).
In approving the final label for a new drug or biologic,
the FDA aims to warn of risks while at the same time "prevent[ing]
overwarning, which may deter appropriate use of medical products."
In re Zofran (Ondansetron) Prods. Liab. Litig., 57 F.4th 327, 330
(1st Cir. 2023) (quoting Supplemental Applications Proposing
Labeling Changes for Approved Drugs, Biologics, and Medical
Devices, 73 Fed. Reg. at 49605-06). The agency's final
determinations are thus meant to "guard[] against the exaggeration
of risk, or inclusion of speculative or hypothetical risks," id.
(citation modified), such as "theoretical hazards not
well-grounded in scientific evidence [that] can cause meaningful
risk information to lose its significance," Requirements on
Content and Format of Labeling for Human Prescription Drug and
Biological Products, 71 Fed. Reg. 3922, 3935 (Jan. 24, 2006)
(citation modified).
Only after this "onerous and lengthy" process is
complete, Mut. Pharm. Co. v. Bartlett, 570 U.S. 472, 476 (2013),
does the agency confirm its acceptance of a BLA or NDA with the
manufacturer. Accordingly, the approval of a BLA "constitute[s]
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a determination that the . . . product meet[s] applicable
requirements to ensure the continued safety, purity, and potency"
of biologics such that the product may enter the market. 21 C.F.R
§ 601.2(d); see also 42 U.S.C. § 262(a)(2)(C).
After the FDA has approved a label, the manufacturer
must usually obtain permission from the FDA before making any
changes to it. See In re MDL 2700 Genentech Herceptin
(Trastuzumab) Mktg. & Sales Prac. Litig., 960 F.3d 1210, 1236 (10th
Cir. 2020); 21 C.F.R. § 601.12(f)(1)–(3) (describing the pathways
available to manufacturers seeking to amend a biologic label).
The so-called Changes Being Effected (CBE) regulations provide an
exception, applicable to both general pharmaceutical drugs under
21 C.F.R. § 314.70(c)(6) and biologics under 21 C.F.R.
§ 601.12(f)(2). 4 Under the CBE procedure, a manufacturer may
without prior permission alter a drug or biologic's approved label
based on "newly acquired information" in order to "accomplish" one
of five possible labeling objectives provided by the regulations.
21 C.F.R. § 601.12(f)(2)(i)(A)–(E). Upon making such a labeling
change, the manufacturer must submit a supplemental label to the
FDA and may immediately begin using the revised label even as the
4 Though the regulations are largely analogous, the district
court based its analysis on the CBE regulations pertaining to
general pharmaceutical drugs under 21 C.F.R. § 314.70(c)(6) rather
than those pertaining to biologic products under 21 C.F.R.
§ 601.12(f)(2).
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FDA considers whether to approve the change. 21 C.F.R.
§ 601.12(f)(2)(ii).
B.
With this regulatory framework in mind, we turn to the
facts of this case. Because this case was resolved on a motion
to dismiss, we take as given the well-pleaded facts in the
complaint. O'Brien v. United States, 155 F.4th 50, 53–54 (1st
Cir. 2025).
Aimovig is the proprietary name for the biologic drug
erenumab. "Erenumab is a human monoclonal antibody that
antagonizes the calcitonin gene-related peptide (CGRP) receptor."
Because CGRP plays "a role" in the development of migraines,
Aimovig aims to prevent migraines by inhibiting CGRP's ability to
bind to CGRP receptors. At the time of its BLA submission, Aimovig
was "the first product of this class to be reviewed in an FDA
marketing application."
Amgen submitted a biologics license application for
Aimovig on May 17, 2017. Aimovig received FDA approval exactly
one year later. The label as approved by the agency contained 12
sections, numbered (with some omissions) from 1 to 17.5 Section 14
of Aimovig's label, titled "Clinical Studies," states that
5A biologic's label can contain up to 17 possible sections.
See 21 C.F.R. § 201.57(c)(2)–(18) (listing all 17 possible
sections). Sections number 5, 7, 9, 10, and 15 were omitted from
Aimovig's label.
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patients "with myocardial infarction, stroke, transient ischemic
attacks, unstable angina, coronary artery bypass surgery, or other
revascularization procedures within 12 months prior to screening"
were excluded from the drug's clinical trials. (Emphasis added).
Warner criticizes that description because it failed to disclose
that the Aimovig studies also excluded anyone who had ever suffered
from seizures or neurological disorders. The label similarly
noted no particular risk of Aimovig use for those in either of
these clinical trial exclusion groups.
Knowing of these undisclosed exclusions would have been
relevant to Lucas and his doctor, Warner alleges, because Lucas
had suffered from "both seizures and cerebrovascular
disease/surgery" more than a year prior to taking Aimovig. Lucas
was diagnosed with an arteriovenous malformation6 (AVM) at the age
of six that led him to have "frequent and severe migraines" as
well as "periodic brain bleeds." In 2011 and then again in 2012,
Lucas underwent an embolization7 to help treat his AVM and migraine
6 An arteriovenous malformation is an "improper or abnormal
development related to arteries or veins." Arteriovenous
Malformations (AVM), Stedman's Medical Dictionary 1147 (28th ed.
2006). With an AVM, "blood is shunted from arterioles to venules
without passing through the capillaries." Id.
7 An embolization is the "[t]herapeutic introduction of
various substances into the circulation to occlude vessels, either
to arrest or prevent hemorrhaging, to devitalize a structure,
tumor, or organ by occluding its blood supply, or to reduce blood
flow to an arteriovenous malformation." Embolization, Stedman's
Medical Dictionary, supra, at 627.
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symptoms, though these procedures provided limited relief. In
2014, he suffered a subacute hemorrhage from his AVM.
In June 2018, unaware that persons with any history of
seizures and neurological disease had been excluded from the
Aimovig clinical trials, Lucas's doctor prescribed him Aimovig to
treat his migraines. Lucas took one dose of Aimovig on June 17,
2018, at age twenty-three. Less than 48 hours later, Lucas
suffered seizures and was placed in a coma. He experienced "multi-
organ failure." His doctors believed that Aimovig had "cross[ed]
[his] blood brain barrier,"8 thereby causing the seizures, and they
"attempt[ed] to remove [Aimovig] from his brain and blood." Due
to those seizures, Lucas "suffered significant irreversible brain
damage, including the near-total loss of his short-term memory"
and the inability to eat or drink. He struggled to walk and stand.
He was left "cognitively severely impaired," forcing him to
discontinue his university studies, as the doctors could not do
anything "to reverse the damage caused by [Aimovig]." In 2020,
Lucas's condition worsened, and he suffered repetitive seizures
8 The blood-brain barrier is "a selective mechanism" that
"oppos[es] the passage of most ions and high molecular weight
compounds from the blood to brain tissue." Blood-Brain Barrier,
Stedman's Medical Dictionary, supra, at 205; see also In re Vertex
Pharms. Inc., Sec. Litig., 357 F. Supp. 2d 343, 345 (D. Mass. 2005)
("The blood-brain barrier is a selective filter that regulates the
transport of certain molecules from the blood to the brain, and
protects the brain from substances in the blood that would cause
undesirable effects in the brain.").
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"due to temporal mesial sclerosis, a result of the brain damage"
from Aimovig.
Lucas died on November 17, 2020. His death certificate
lists his primary cause of death as "hypoxia respiratory failure"
caused by "stroke," "refractory seizures," and "cerebral
angiopathy." 9 His death certificate also states that
"complications from Aimovig" "contribut[ed]" to his death.
Warner filed a wrongful death complaint against Amgen in
Massachusetts state court, alleging that her son died from medical
complications due to taking Aimovig and asserting liability on a
failure-to-warn theory. Warner alleged that Aimovig's label as
approved by the FDA should have contained a warning that the
biologic drug had not been tested on persons like Lucas with any
history at all of "seizures or cerebrovascular disease/surgery,"
as well as a warning regarding the "complications suffered by
Lucas."
Amgen removed the suit to the U.S. District Court for
the District of Massachusetts. Amgen then filed a motion to
dismiss for failure to state a claim pursuant to Federal Rule of
9 Hypoxia involves the "[d]ecrease below normal levels of
oxygen in inspired gases, arterial blood, or tissue." Hypoxia,
Stedman's Medical Dictionary, supra, at 939. "Refractory"
seizures are seizures that are "resistant to treatment."
Refractory, Stedman's Medical Dictionary, supra, at 1664. And
angiopathy is "[a]ny disease of the blood vessels or lymphatics."
Angiopathy, Stedman's Medical Dictionary, supra, at 88.
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Civil Procedure 12(b)(6), contending (among other things) that
because it was required to use the label approved by the FDA, and
because Warner had not shown Amgen could have changed that label,
federal law preempted Warner's state law claim that Aimovig's label
should have disclosed more about the drug's clinical trial
exclusions or the possible complications related to those
exclusions.
At the motion hearing for Amgen's motion to dismiss,
Warner introduced a new contention. In addition to critiquing
Amgen's efforts to secure FDA approval of the label in the first
instance, she contended that a series of studies and literature
reviews not known to the FDA during the approval process would
have allowed Amgen to employ the CBE procedure to change the label
after it was approved and before Lucas took the drug. Such a
change, argued Warner, would have mentioned not just the lifetime
exclusion group, but also additional risks for patients like Lucas.
Following argument, the court requested that Warner file a
supplemental brief "including more information on studies
identified" during the hearing.
With her supplemental brief, Warner submitted nine
articles -- including studies and literature reviews, most of which
were published before the FDA approved the label -- that she
asserted qualified as newly acquired information that would have
allowed Amgen to amend its approved label under the CBE procedure.
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Warner argued that these articles "establishe[d] a reasonable
basis for believing that a CGRP blockade pose[s] a type, severity,
or frequency of risk that was not submitted to or analyzed by the
FDA prior to Aimovig's approval." Warner also requested leave to
amend her complaint to counter Amgen's affirmative preemption
defense and to assert that, based on the studies and reviews
presented, Amgen could have updated its label using the CBE process
to reflect "cerebral risks presented by CGRP-blocking drugs, like
Aimovig, that were not previously submitted to the FDA."
After reviewing Warner's submissions, the court
concluded that "the articles [did] not plausibly constitute newly
acquired information" and failed to "link Aimovig or any other
CGRP-blocking drug to an adverse event or risk" that would have
allowed Amgen to amend Aimovig's label. Warner v. Amgen Inc.,
No. 24-CV-10632, 2025 WL 490720, at *9 (D. Mass. Feb. 13, 2025).
The court further surmised that because the FDA had "reviewed 'the
world's literature'" on "the theoretical risks associated with
CGRP antagonism," it was "not plausible that articles bearing on
that subject" that were published before the FDA began its review
would constitute newly acquired information not previously
considered by the FDA. Id. at *10. As to Warner's argument that,
pre-approval, Amgen should have submitted a proposed label to the
FDA disclosing that patients like Lucas had been excluded from
Aimovig's trials, the court found that "the FDA was aware that
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individuals who had ever been diagnosed with a seizure disorder or
cerebrovascular disease were excluded from Aimovig's clinical
trials" and that the FDA "considered the risks and safety concerns
associated with these exclusions" before approving a label lacking
any disclosure of them. Id. at *8. Accordingly, the court
granted Amgen's motion to dismiss with prejudice and denied
Warner's request for leave to amend her complaint as futile. Id.
at *12. This appeal followed.
II.
This court "review[s] the grant of a motion to dismiss
de novo, accepting well-pled facts as true and drawing all
inferences in favor of the non-moving party." O'Brien, 155 F.4th
at 53–54 (quoting 3137, LLC v. Town of Harwich, 126 F.4th 1, 8
(1st Cir. 2025)). To survive dismissal for failure to state a
claim under Rule 12(b)(6), a complaint must "'state a claim to
relief that is plausible on its face,'" such that we can "draw the
reasonable inference that the defendant is liable for the
misconduct alleged." Ashcroft v. Iqbal, 556 U.S. 662, 678 (2009)
(quoting Bell Atl. Corp. v. Twombly, 550 U.S. 544, 570 (2007)).
We are mindful that this plausibility requirement does not "impose
a . . . requirement" of probability. Twombly, 550 U.S. at 556.
On the other hand, a "sheer possibility" is not enough. Iqbal,
556 U.S. at 678. As such, "[t]he relevant inquiry focuses on the
reasonableness of the inference of liability that the plaintiff is
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asking the court to draw from the facts alleged in the complaint."
Ocasio-Hernández v. Fortuño-Burset, 640 F.3d 1, 13 (1st Cir. 2011).
On appeal, Amgen does not contend that Warner's
complaint fails to state a plausible claim for relief under
applicable state law. Rather, Amgen argues that the district
court correctly found that Amgen's affirmative defense -- federal
preemption -- defeats Warner's state-law claim before it gets out
of the starting blocks. See PLIVA, Inc. v. Mensing, 564 U.S. 604,
619 (2011) (referring to preemption as an affirmative defense);
Durnford v. MusclePharm Corp., 907 F.3d 595, 603 n.8 (9th Cir.
2018) ("FDCA preemption, like all federal preemption, is an
affirmative defense.").
When an order of dismissal under Rule 12(b)(6) is
"premised on the inevitable success of an affirmative defense," we
will uphold the order so long as (1) "the facts establishing the
defense are definitively ascertainable from the complaint and the
other allowable sources of information" and (2) "those facts
suffice to establish the affirmative defense with certitude."
Burt v. Bd. of Trs. of Univ. of R.I., 84 F.4th 42, 50 (1st Cir.
2023) (quoting Nisselson v. Lernout, 469 F.3d 143, 150 (1st Cir.
2006)); see also Scheibe v. ProSupps USA, LLC, 141 F.4th 1094,
1098 (9th Cir. 2025) ("Under Rule 12(b)(6), only when the plaintiff
pleads itself out of court, by admitting all the elements of an
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affirmative defense, may a complaint that otherwise states a claim
be dismissed." (citation modified)).
III.
This appeal does not call on us to apply a statutory
preemption clause. Cf. Monsanto Co. v. Durnell, 146 S. Ct. 2001,
2006 (2026) (reviewing an express preemption clause contained in
7 U.S.C. § 136v(b)). Rather, Amgen's FDCA preemption defense
rests on the proposition that it was not legally possible to use
a label other than the label originally approved by the FDA. This
type of preemption is often called impossibility preemption, which
exists "where it is impossible for a private party to comply with
both state and federal requirements." Zofran, 57 F.4th at 335–36
(citation modified).
Impossibility preemption "is a demanding defense."
Wyeth, 555 U.S. at 573. As a general matter, there is a
presumption against preemption. See id. at 565 ("[W]e start with
the assumption that the historic police powers of the States were
not to be superseded by the Federal Act unless that was the clear
and manifest purpose of Congress." (citation modified)). In the
prescription drug context, the drug manufacturer bears the
ultimate burden of establishing a preemption defense. See
Albrecht, 587 U.S. at 313–14.
Warner claims in support of her complaint that it would
have been possible for Amgen to comply with Massachusetts state
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law by proposing a better label when originally seeking FDA
approval. Alternatively, she claims in support of her motion to
amend her complaint that Amgen could have later changed the
approved label. We assess each claim in turn.
A.
We begin with what the parties call Warner's
"pre-approval" theory, which is the theory tendered in support of
her complaint. In substance, Warner asserts that, in its BLA
submission to the FDA, Amgen could have proposed a label disclosing
that Aimovig's clinical trials excluded "people with a history of
seizures" or "cerebrovascular disease/surgery" at any time in
their lives. Such a disclosure would have revealed that
"potential complications related to those exclusions" could have
escaped notice in the clinical trials.
We see two flaws in this argument, one legal and one
factual, each sufficient to sustain the dismissal of Warner's
complaint. First, as a matter of law, a manufacturer's ability
to ask the FDA to include something in a label falls short of the
unilateral power required to preclude an impossibility preemption
defense. Second, as a matter of fact, the record in this case is
clear that the FDA would have rejected a request to further
describe in the label the exclusions from Aimovig's clinical
trials. We explain these independent grounds for affirming
dismissal in turn below.
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1.
"[W]hether a private party can act sufficiently
independently under federal law to do what state law requires may
sometimes be difficult to determine." PLIVA, 564 U.S. at 623.
Indeed, the Supreme Court itself has recognized that prescription
drug preemption matters "h[ave] repeatedly vexed the Court -- and
produced widely divergent views -- in recent years." Bartlett,
570 U.S. at 492–93 (citing Wyeth, 555 U.S. 555, and PLIVA, 564
U.S. 604). That puzzlement arises in part due to the lack of
congressional clarity regarding preemption in federal law: "[T]he
FDCA's treatment of prescription drugs includes neither an express
pre-emption clause (as in the vaccine context, 42 U.S.C.
§ 300aa-22(b)(1)), nor an express non-preemption clause (as in the
over-the-counter drug context, 21 U.S.C. §§ 379r(e), 379s(d))."
Id. at 493. This lack of clarity leaves courts to "divine
Congress' will from the duties the statute imposes." Id. So we
do our best, following the guidance provided by the Supreme Court
and our own circuit precedent.
We start with Wyeth. If Warner were correct that a
manufacturer's ability to ask the FDA to include certain language
on a label precluded an impossibility preemption defense to a claim
that the label was insufficient, then the Supreme Court in Wyeth
would have had little reason to hinge its discussion on the
availability of the CBE procedure. The Court could have simply
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rested its decision on whether it was possible for the manufacturer
to request that the FDA take certain action -- in this case, to
approve a change to the label. Indeed, the Court's segue from
noting the manufacturer's ability to request approval to focusing
instead on the CBE procedure strongly suggests that the Court
presumed that the mere ability to request approval of a change did
not defeat the preemption defense. See Wyeth, 555 U.S. at 568
("There is, however . . . the 'changes being effected' (CBE)
regulation." (emphasis added)).
This suggestion grew stronger yet with the Court's
discussion of Wyeth in PLIVA. There, the Court held that a generic
drug manufacturer's ability to ask the FDA to change a drug's label
did not defeat an impossibility defense. PLIVA, 564 U.S. at
619–21. In so holding, the Court explained that "[t]he question
for 'impossibility' is whether the [defendant] could independently
do under federal law what state law requires of it." Id. at 620.
In that context, where state law required a stronger label, "[t]he
only action the [m]anufacturers could independently take -- asking
for the FDA's help -- [was] not a matter of state-law concern."
Id. at 624. Because requesting that the FDA take action was simply
the first step in a chain of contingencies that, with the FDA's
help, "might have eventually" -- but could not have
independently -- yielded the requisite stronger warning label, the
Court found such a claim to be preempted. Id. at 620-21; see also
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id. at 623–24 ("To decide these cases, it is enough to hold that
when a party cannot satisfy its state duties without the Federal
Government's special permission and assistance, which is dependent
on the exercise of judgment by a federal agency, that party cannot
independently satisfy those state duties for pre-emption
purposes.").
As we subsequently stated in Celexa, the PLIVA Court
"thus limited Wyeth to situations in which the drug manufacturer
can, of its own volition, strengthen its label in compliance with
its state tort duty." 779 F.3d at 41 (citation modified); see
also PLIVA, 564 U.S. at 624 (reasoning that Wyeth was not contrary
to its holding because a brand-name manufacturer like the one in
Wyeth can use the CBE process "to unilaterally strengthen its
[drug's] warning" or label without prior FDA approval, whereas a
generic manufacturer cannot (quoting Wyeth, 555 U.S. at 573)).
And then more recently in Albrecht, the Supreme Court again turned
its attention not to a manufacturer's ability to plead with the
FDA for a labeling change, but rather to the CBE regulation
allowing a change by the manufacturer "without prior approval from
the FDA." 587 U.S. at 315. We have gathered from these cases a
general principle: Where "a private party . . . cannot comply
with state law without first obtaining the approval of a federal
regulatory agency, then the application of that law to that private
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party is preempted." Gustavsen v. Alcon Lab'ys, Inc., 903 F.3d
1, 9 (1st Cir. 2018).
And while the foregoing cases all apply this principle
in the context of considering claims that approved labels should
have been revised post-approval, we see no reason not to apply it
to claims that the manufacturer should have submitted a different
label in its BLA submission to the FDA. It follows, then, that a
pre-approval claim like Warner's cannot survive a manufacturer's
impossibility defense because a BLA submission is, by its nature,
a request for agency approval.10
10 This is not to say that a manufacturer remains free to
mislead the FDA in the approval process. While impossibility
preemption bars a pre-approval claim based on a manufacturer's
failure to propose a different label to the FDA, the enforcement
mechanisms crafted by Congress to protect consumers against
misleading or fraudulent actions by manufacturers remain in place.
The FDCA prohibits manufacturers from obscuring information from
or presenting false information to the FDA in their drug
applications. See 21 U.S.C. § 331(a) (prohibiting introduction
into interstate commerce of any drug "that is . . . misbranded");
id. § 352(a)(1) (deeming a drug misbranded where "its labeling is
false or misleading in any particular"); see also Yousefzadeh v.
Johnson & Johnson Consumer Inc., 184 F.4th 130, 141 (2d Cir. 2026)
("The misbranding provision . . . prohibits not only affirmative
misrepresentations but also failures to disclose material
facts."); United States v. Watkins, 278 F.3d 961, 964 (9th Cir.
2002) (describing misdemeanor and felony misbranding provisions
under the FDCA).
And, as we will explain, information not submitted to the FDA
in the approval process may serve as newly acquired information,
requiring a post approval change in the label by the manufacturer
to avoid liability under state law.
- 23 -
2.
Adding belt to suspenders, the record in this case makes
clear that any pre-approval request by Amgen for the label Warner
says it should have proposed would have been denied -- and indeed,
was effectively denied. Certainly, the FDA was aware that the
clinical trials submitted in support of Aimovig's application
excluded persons with any history of "seizure disorders" or
"significant neurological conditions." We know that because the
summary of the studies prepared by the FDA's Division of Neurology
Products (DNP) expressly mentioned those exclusions. The DNP
further remarked in its clinical review and integrated safety
assessment that "the selection criteria for the migraine studies
resulted in a relatively young, healthy population" that excluded
individuals suffering from "seizure disorders" or "major
neurological disorders."
Indeed, Aimovig's DNP reviewer initially proposed adding
a warning of "theoretical concern" for all "patients with
major . . . cerebrovascular disease" (e.g., persons like Lucas).
That recommendation was rejected after further internal review, as
the FDA's Division of Risk Management determined that, despite the
"theoretical" cerebrovascular risks posed by CGRP antagonism,
there was "insufficient evidence to include th[e] theoretical risk
in labeling." The FDA also rejected the DNP's suggestion to add
a caution against Aimovig use in "[p]atients who ha[d] experienced
- 24 -
a stroke, myocardial infarction, transient ischemic attack,
unstable angina or had coronary artery bypass surgery within the
last year."
Ultimately, the final label as approved by the FDA
contained no contraindications, warnings, or precautions, and it
listed only "injection site reactions and constipation" as the
"most common adverse reactions" to taking Aimovig. And while the
"Clinical Studies" section disclosed that patients who had
suffered from certain medical conditions, such as "myocardial
infarction, stroke, [and] transient ischemic attacks . . . within
12 months prior to screening" had been excluded from Aimovig's
clinical trials, the label did not disclose the lifetime exclusion
criterion and included no warning, direct or otherwise, of the
theoretical risk left unresolved by the design of the clinical
studies.11
Bearing in mind the FDA's knowledge of the clinical trial
exclusion criteria and its clear consideration and rejection of
added language to account for those exclusions, we are not free to
11Warner would have us discount the FDA's consideration of
these excluded populations and the risk thereto because, in
Warner's view, the FDA trained its attention more (but not
exclusively) on cardiovascular risks than on cerebrovascular
risks, as "evidenced" by Warner's counting of the number of
references to cardiovascular versus cerebrovascular risks in the
FDA's review. But there was good reason for the FDA to home in
on cardiovascular considerations: "The