Title of Invention

"SURFACTANT COMPOUNDS"

Abstract Fatty esters of oligoesters of a dicarboxylic acid and a polyol retaining at least one free hydroxyl group, particularly of the formula (I): R -[OR2O-C (O)-R3-(O)C-]m-R4 a), where R1 is H, a monocarboxylic acid group, or R6O-[C(O)-R3-(O)C]-; R s are residues of polyols having at least one substituent free hvdroxyl; R s are hydrocarbylene; R is -OH, -OM where M is a salt forminfj metal, amine or ammonium, -OR , or -OR O-R ; R is Cj to CIt hydrocarbyl; R is C8 to C22 hydrocarbyl; R7 is H, or -C(O)R ; and m is 1 to 20; provided that at least one of R and R is or includes a C8 to C22 group, are surfactants. A range of surfactant properties can be obtained by varying the molecules within these ranges. Especially where R2 is derived from a higher polyol e.g. sorbitol, R is C2 to C6, and the fatty terminal group is C8 to C14, the products can be highly water soluble and effective oil in water emulsifiers.
Full Text Surfactant Compounds
This invention relates to surfactant compounds which include oligo- or poly-meric esters made up
of polyhydroxy hydrocarbyl, particularly saccharide, residues, and dicarboxylic acid residues,
modified by the inclusion of a hydrophobic residue, and to the use of such compounds as
surfactants, particularly as emulsifiers, especially in personal care formulations.
For effective surfactancy in water based systems, e.g. oil in water emulsions, or dispersing solids in
water, it is usually desirable to use surfactants which are relatively hydrophilic, and are typically
moderately water soluble. Such surfactants usually have a high HLB (Hydrophile/Lipophile
Balance), typically greater than 7 and commonly in the range 8 to 18. Conventionally this has been
achieved by using alcohol ethoxylates having relatively long polyoxyethylene chains, typically
including at least 10 and sometimes up to about 100 EO groups, for alcohols having C chains, or by using fatty acid esters, usually mainly mono-esters of sugars such as sucrose.
Correspondingly for effective surfactancy in oil based systems it is desirable to use surfactants that
are relatively hydrophobic, usually oil soluble and often water insoluble, typically having a low HLB
e.g. less than 7 and commonly in the range 4 to 6.
The present invention is based on our finding that certain polyesters of polyols and dicarboxylic
acids give intermediate oligomers or polymers that can be further esterified typically with
monocarboxylic acids or monohydric alcohols to give compounds which have surfactant activity for
example as oil in water emulsifiers. For convenience the intermediate materials may be simply
referred to as oligoesters or oligomers.
The present invention accordingly provides a surfactant compound which is a fatty mono-or di-ester
of a oligoester of a dicarboxylic acid and a polyol which after polyesterification retains at least one
free hydroxyl group.
The compounds of the invention can be fatty acid mono- or di-esters of bis-hydroxyl ended
oligoesters; fatty alcohol mono- or di-esters of bis-carboxyl ended oligoesters; fatty acid or fatty
alcohol mono-esters, or mixed fatty acid fatty alcohol bis-esters of mono-hydroxyl mono-carboxyl
ended oligoesters and the invention includes these sub-types of compound.
In particular, the compounds of the invention are of the formula (I)
Rl-[OR20-C(0)-R3-(0)C]m-R4 (I)
where
R1 is H, a group R5(O)C-, or a group R6O-[C(O)-R3-(O)C]-;
each R2 is independently a C3 to C10 hydrocarbyl group including at least 1 substituent free
hydroxyl group;
each R3 is independently a C1 to C20, particularly a C2 to C2Q. hydrocarbylene group;
R4 is -OH, -OM where M is a salt forming metal, an amine or ammonium group, a group
-OR6, or a group -OR20-R7;
R5 is a C20 to C20 aliphatic hydrocarbyl group;
each R6 is independently a CQ to 622 aliphatic hydrocarbyl group;
R? is H or a group -C(O)R5 where R5 is independently as defined above; and
m is from 1 to 20, particularly from 3 to 10, more particularly from 3.5 to 8;
provided that at least one of R1 and R4 is or includes a group including a C7 to C21 hydrocarbyl
group.
Within the general formula (I) there are three main groups of compounds:
a) fatty acid mono- and bis-esters of bis-hydroxyl ended oligoester intermediates, having the
formula (la):
R1 a-[OR20-C(0)-R3-(0)C]m-OR20-R4a (la)
where
each R2, each R3 and m are independently as defined in formula (I);
R! a is a group R5(Q)C-; and
R4a is -H, or a group -C(0)R5;
where each R5 is independently as defined in formula (I);
b) fatty acid or fatty alcohol mono- and fatty acid fatty alcohol bis-esters of hydroxyl carboxyl
ended oligoester intermediates, having the formula (Ib):
R1 b-[OR20-C(O)-R3-(O)C]m-R4b (Ib)
each R2, each R3 and m are independently as defined in formula (I);
R1b is H or a group R5(O)C-;
R4b is -OH, -OM, where M is a salt forming metal {atom} or {an} amine or ammonium
group, or a group -OR**;
where each R5 and R6 is independently as defined in formula (I), provided that at least one
of R1 D and R4b is or includes a CQ to €22 group; and
c) fatty alcohol mono- and bis-esters of bis-carboxyl ended oligoester intermediates, having the
formula (Ic):
R1 c-[OR20-C(O)-R3-(0)C]m-OR4c (Ic)
each R2, each R3 and m are independently as defined in formula (I);
R1 c is a group R6O-C(O)-R3-(O)C-; and
R4c is H or a salt forming metal {atom} or {an} amine or ammonium group or a group
-OR6;
where each R6 is independently as defined in formula (I).
The compounds of the formula (la) include an "extra" residue of the polyol residue -OR20- and as
the residue -OR2O- are the main source of hydrophilicity in the molecule it is likely that such
compounds will be intended to be relatively hydrophilic, commonly water soluble and particularly
having an HLB value of from 8 to 18. It is likely that such compounds will use relatively short fatty
monocarboxylic acid chains e.g. C7 to C21 particularly C7 to C21in the final esters and will
usually be mono-esters (di-esters being less hydrophilic).
Compounds of the formula (Ib) have equal numbers of polyol and dicarboxylic acid residues and
are likely to be intermediate in their hydrophilicity and hydrophobicity depending on the particular
residues used and the length of the fatty chain(s) in the final esters.
The compounds of the formula (Ic) include an "extra" residue of the -C(O)-R3-(O)C- dicarboxylic
acid residue and as this is a source of hydrophobicity in the molecule it is likely that such
compounds will be intended to be relatively hydrophobia, commonly water insoluble, often oil
soluble and particularly having an HLB value of from 4 to 6 and may have relatively longer fatty
chains in the final ester e.g. derived from C7 to C21, particularly C7 to C21 alcohols.
Compounds of the formula (I) are linear compounds in that the oligoester chain is shown as not
being branched or crosslinked and the fatty group in R^ or R^ is shown as terminal on the
oligoester chain. As is discussed below, the polyols [typically of the formula (II): HOR2OH] used in
making the compounds of the formula (I) have hydroxyl functionality >2, e.g. sorbitol has a total of
6 hydroxyl groups, so there is a possibility that branching reactions may take place, similarly the
dicarboxylic acid [typically of the formula (III): HOOC-R3-COOH] may include functionality that may
enable branching e.g. further carboxyl group(s) or hydroxyl group(s). The compounds of the
formula (I) have use as surfactants and in such uses it is desirable to avoid this type of branching
as we believe it reduces the effectiveness of the compounds as surfactants. Desirably the
proportion of such materials having a structure analogous to formula (I) but including branching in
the oligoester chain is less than 20 wt%, more desirably less than 10 wt%, and particularly less
than 5 wt% of the surfactant product.
The hydrocarbyl group R2 can be considered as the residue of a corresponding polyol
HO-R2-OH (II) after removing two hydroxyl groups. R2 is desirably an aliphatic hydrocarbyl group,
which will usually be saturated, having from 3 to 10 and particularly 4 to 8, and especially 6, carbon
atoms and it will usually be linear though ft may include branching. The residue R2 Includes at
least 1 and more usually from 1 to 6, particularly 1 to 4 and especially 4, hydroxyl groups which will
usually be secondary hydroxyl groups(see also below).
To aid manufacture of the desired linear oligomeric intermediate products the polyol (II) desirably
includes two relatively reactive hydroxyl groups, the remaining groups being substantially less
reactive. Thus, in synthesis involving reaction of the polyol (II) with dicarboxylic acid (III) or a
reactive derivative (see below), the predominant reaction is between the carboxylic acid groups
and the more reactive hydroxyl groups to give linear oligomers [which are subsequently reacted
with the monocarboxylic acid (IV) or a reactive derivative or alcohol (V) (see below)]. In particular,
the polyol (II) will have two primary hydroxyl groups and 1 to 6, particularly 1 to 4 and especially 4,
secondary hydroxyl groups.
Particularly desirably, R2 is of the formula: -(CH2)p1(CHOH)p2(CH2)p3- where p1 and p3 are each
independently from 1 to 3, desirably 1, and p2 is from 1 to 6, more usually from 1 to 4. The
corresponding polyols include glycerol, 64 polyols such as threitol and erythritol, C5 polyols such
as inositol, arabitol and xylitol and CQ polyols such as sorbitol. The C7 to C21 polyols are commonly
the reduced or hydrogenated forms of the corresponding tetrose, pentose and hexose sugars. In
such polyols there are two primary hydroxyl groups and 1 to 4 secondary hydroxyl groups. Usually
it will be desirable to have a relatively large number of free hydroxyl groups to maximise the
hydrophilic contribution of this part of the molecule, however, if desired the number of free hydroxyl
groups can be less than the maximum possible e.g. 4 with sorbitol, either by reacting the groups
e.g. by etherification or esterification, or by using modified polyols e.g. by forming sorbitan by the
anhydridisation of sorbitol.
It is possible to include relatively small proportions of polyol residues which have no free hydroxyl
groups e.g. as derived from ethylene, diethylene, triethylene or propylene glycols or by reacting the
polyol so that it only has 2 hydroxyl groups e.g. as in /so-sorbide derived by di-anhydridisation of
sorbitol. However, as it is generally desirable to use this part of the molecule to provide
hydrophilicity, the proportion of such residues will generally be low, typically an average of not
more than 25 mol%, more usually not more than 10 mol%, and desirably not more than 5 mol% of
the polyol residues in the molecule.
The group R3 can be considered as the residue of the corresponding dicarboxylic acid
HOOC-R3-COOH (III) after removing the carboxylic acid groups and the dicarboxylic acid (III) or a
reactive derivative will usually be the synthetic precursor providing the group R3 to the compound
of the invention. R3 can be saturated or unsaturated, linear or branched and can be aromatic e.g.
a phenyl ring (thus giving a phthalic, terephthalic or ;so-phthalic dicarboxylic acid) or and desirably
aliphatic, typically an alkylene or alkenylene group, and may be linear or branched, and may be
cyclic though it is desirably open chain. Commonly R3 is a group: -(CH2)n-, where n is from 1 to
10, usually from 2 to 10, particularly from 2 to 8, more particularly from 2 to 6. Because mixtures of
different dicarboxylic acids (or reactive derivatives) may be used to make materials used in
practice, n may appear to be non integral, because it will be an average. The group R3 Is usually
unsubstituted, but may be substituted e.g. with further hydroxyl or carboxyl groups as in citric acid
(which has both).
The C7 to C21aliphatic hydrocarbyl group R5 can be considered as the residue of the
corresponding carboxylic, particularly fatty, acid: R5COOH (IV) and within the compounds of the
invention usually appears as part of a carboxyl residue R5(O)C-. Desirably, R5 is a C7 to C21
alkyl, alkenyl or alkadienyl group. Generally within this range, it will be a Cj to Ci3 particularly a
C7 to C21 group when the end product is desired to be hydrophilic and a C7 to C21group when
the end product is desired to be hydrophobia
The group R6 is a C7 to C21hydrocarby! group and can be considered as the residue of the
corresponding, particularly fatty, alcohol R1OH (V) and within the compounds of the invention
usually appears as part of a hydrocarbyloxy group -OR6. Desirably, R6 is a C7 to C21, group
especially an alkyl, alkenyl or alkadienyl group.
Each group R5 or R6 is independently desirably an alkyl, alkenyl or alkadienyl group. In use it may
be desired to use a mixture of compounds having different groups R5 or R6 respectively, e.g. as
derived from naturally occurring fats and oils or as /so-stearic acid or /so-stearyl alcohol
respectively. Further R5 and R6 may each independently be straight chain or branched e.g. as
derived from /so-stearic acid or /so-stearyl alcohol respectively, and saturated as derived from
lauric, palmitic, stearic or /so-stearic acids or lauryl, palmityl, stearyl or /so-stearyl alcohol
respectively; or unsaturated as derived from oleic, linoleic or palmitoleic acids or oleyl, linoleyl or
palmitoleyl alcohols respectively.
So-called "/so-stearic acid" is a commercially available material, e.g. from Uniqema, and is a
mixture of acids having from 14 to 22, with about 2/3 having 18, carbon atoms, including short,
mainly methyl but also including some ethyl, side chains, branching from the main chain mainly in
the middle of the chain, typically about the 9-position e.g. from about the 6-position to about the
12-position, in an 18 carbon molecule. The assay molecular weight (e.g. by acid number) is close
to that of stearic acid, "/so-stearic acid" is a co-product (after separation and hydrogenation) from
the manufacture of so-called "dimer acids" from C7 to C21 unsaturated (mainly oleic and linoleic) fatty
acids by catalytic thermal polymerisation.
M is a salt forming metal, an amine or ammonium group. Where M is metal it is particularly an
alkali metal e.g. sodium or potassium atom; where M is amine it is particularly mono-, di- or tri-,
alkyl or hydroxyalkyl amine, typically containing in total from 1 to 12 carbon atoms; and where M is
ammonium, it may be unsubstituted or substituted e.g. with 1 to 4 alkyl groups, the typically
containing in total from 1 to 16 carbon atoms.
The index m represents the average number of repeat units in oligomeric ester part of the
molecule. Typically m will be at least 3, more usually at least 3.5, and desirably at least 5, though
not usually more than 20 and desirably not more than 10 and will desirably be from 3.5, especially
4, to 7. As the number is an average, m may be non-integral.
The properties of the compounds of the invention, particularly the HLB can be varied by choice of
the hydrophilic and hydrophobic components of the molecules. Thus increasing the length of the
hydrocarbylene group R3 and/or the groups R5, and/or R6, when these are hydrocarbyl, will give a
more hydrophobic product; and increasing the number of free hydroxyl groups in the group R2,
generally linked with increasing length of the R2 chain, will increase the hydrophilicity of the
compounds of the formula (I). Further, the bis-hydroxyl ended oligoester intermediates will
generally give more hydrophilic products that corresponding mono-or bis-carboxyl ended
intermediates because they will have a (slightly) higher proportion of hydroxyl containing groups.
Where the compounds of the formula (I) have a free carboxyl group, then they may have anionic
surfactant properties as well as non-ionic properties, especially under alkaline conditions (though
being polyesters alkaline conditions may lead to some hydrolysis).
The polymeric chain in the compounds of the invention will generally increase the molecular weight
and size of the compounds as compared with e.g. alcohol ethoxylate surfactants. This may lead to
useful properties as stabilisers at interfaces e.g. oil water interfaces, as in emulsions, because the
molecules will be less easy to displace from the interface.
The compounds of the invention and particularly of the formula (I) can be made by reacting a
precursor oligoester (or a reactive derivative) with a reactant which is either or both of a fatty
monocarboxylic acid (or a reactive derivative) or a fatty alcohol (or a reactive derivative) under
esterification conditions. The reactant chosen in any particular case used will depend on whether
the precursor oligoester is bis-hydroxyl ended, mono-hydroxyl mono-carboxyl ended or biscarboxyl
ended. For bis-hydroxyl ended precursor oligoesters the reactant will be a carboxylic acid
(or a reactive derivative) for bis-carboxyl ended precursor oligoesters the reactant will be an alcohol
(or a reactive derivative) for mono-hydroxyl mono-carboxyl ended precursor oligoesters the
reactant will be either a carboxylic acid (or a reactive derivative) or an alcohol (or a reactive
derivative) when the desired product is the mono-ester and both such reactants when the desired
product is the diester. As those skilled in the art will appreciate, it will often be the case that
practical precursor oligoesters will be a mixture of two or possibly all three of the different end
group types and the choice of subsequent reactant(s) may be determined by the particular mixture.
The invention accordingly includes a method of making a surfactant compound of the invention
which comprises reacting a precursor oligoester (or a reactive derivative) with a reactant which is
either or both of fatty monocarboxylic acid (or a reactive derivative) or a fatty alcohol (or a reactive
derivative) under esterification conditions to form a fatty ester surfactant of the oligoester
intermediate.
The invention particularly includes a method of making a compound of the formula (I) as defined
above which comprises reacting a precursor oligoester (or a reactive derivative) with a reactant
which is either or both of a CQ to 622 monocarboxylic acid (IV): R5COOH, or a reactive derivative,
or a CQ to 022 alcohol (V): R^OH (or a reactive derivative) under esterification conditions to form a
fatty ester surfactant of the formula (I).
The oliogoester precursor is typically of the formula (VI):
H-[OC(0)-R3-(0)C]n1-fOR20-C(0)-R3-(0)C]m1-[OR2]n2-OH (VI)
where
each R2 and each R3 are independently as defined for formula (I);
ml is from 1 to 20, particularly from 3 to 10, more particularly from 3.5 to 8;
n1 is 0 or 1; and
n2 is 0 or 1
provided that n1 and n2 are not both 1.
If n1 and n2 were both 1 then in effect ml would be reduced by 1.
Corresponding to the three sub groups of compounds of the invention as discussed above, the
invention further includes:
a a method of making a surfactant compound of the invention which comprises reacting a bishydroxyl
ended precursor oligoester (or a reactive derivative) with a fatty monocarboxylic
acid (or a reactive derivative) under esterification conditions to form a fatty ester surfactant of
the oligoester intermediate; particularly
a method of making a compound of the formula (I) as defined above which comprises
reacting a precursor oligoester of the formula (Via below) as defined above (or a reactive
derivative) with a C§ to 622 monocarboxylic acid (IV): R5COOH (or a reactive derivative)
under esterification conditions to form a fatty ester surfactant of the formula (la).
b a method of making a surfactant compound of the invention which comprises reacting a
mono-hydroxyl mono-carboxyl ended precursor oligoester (or a reactive derivative) with a
fatty monocarboxylic acid (or a reactive derivative) and/or a fatty alcohol (or a reactive
derivative) under esterification conditions to form a fatty ester surfactant of the oligoester
intermediate; particularly
a method of making a compound of the formula (I) as defined above which comprises
reacting a precursor oligoester of the formula (Vlb below) as defined above (or a reactive
derivative) with a reactant which is either or both of a Cg to 622 monocarboxylic acid
(IV): R5COOH (or a reactive derivative) or a CQ to 622 alcohol (V): R6OH (or a reactive
derivative) under esterification conditions to form a fatty ester surfactant of the formula (Ib);
and
c a method of making a surfactant compound of the invention which comprises reacting a biscarboxyl
ended precursor oligoester (or a reactive derivative) with a fatty alcohol (or a
reactive derivative) under esterification conditions to form a fatty ester surfactant of the
oligoester intermediate; particularly
a method of making a compound of the formula (I) as defined above which comprises
reacting a precursor oligoester of the formula (Vic below) (or a reactive derivative) with a
reactant which is aC7 to C21 alcohol (V): R6OH (or a reactive derivative) under
esterification conditions to form a fatty ester surfactant of the formula (Ic).
When the oligoester precursor is bis-hydroxy ended it will typically be of the formula (Via):
H-[OR2-OC(O)-R3-(O)C]m-[OR2]-OH (Via)
where R2, R3 and m are as defined above for formula (I); and will be reacted with an acid of the
formula (IV), under esterification conditions, to make the compound of the formula (I). The molar
proportion of acid of the formula (IV) will usually be at least 1 mole per mole of hydroxyl in oligomer
(Via) that it is desired to esterify, generally 1 for a mono-ester and 2 for a di-ester. We have not
generally found it necessary to use a significant molar excess of the monocarboxylic acid to
promote formation of the ester product.
When the oligoester precursor is mono-hydroxy mono-carboxy ended it will typically be of the
formula (Vlb):
H-[OR2-OC(0)-R3-(0)C]m-OH (Vlb)
and will be reacted with an acid of the formula (IV) or alcohol of the formula (V), under esterification
conditions to make the compound of the formula (I). The molar proportion of acid and/or alcohol
will usually be at least 1 mole per mole of hydroxyl in oligomer (Vlb) that it is desired to esterify,
generally 1 for a mono-ester and 2 for a di-ester (of course for the diester one of these moles will
be derived from a mono-carboxylic acid and one from an alcohol). We have not generally found it
necessary to use a significant molar excess of the monocarboxylic acid to promote formation of the
ester product.
When the oligoester precursor is bis-carboxy ended it will typically be of the formula (Vic):
HO-C(O)-R3-(0)C-[OR2-OC(O)-R3-(0)C]m-OH (Vic)
where R2, R3 and m are as defined above for formula (I); and will be reacted with an alcohol of the
formula (V), under esterification conditions, to make the compound of the formula (I). The molar
proportion of alcohol of the formula (V) will usually be at least 1 mole per mole of carboxyl in
oligomer (Vic) that it is desired to esterify, generally 1 for a mono-ester and 2 for a di-ester.
Of course, the immediate resulting product wilt be a statistical mixture of mono-ester, di-ester and
unreacted oligomer the proportions depending on the proportions of the oligomer and acid and the
reaction conditions employed.
The precursor oligoesters of the formula (Via), (Vlb) and (Vic) can be made by reacting a polyol
(III) and dicarboxylic acid (IV) under esterification conditions, "particularly using a catalyst e.g. an
alkali catalyst. The particular nature of the oligoester or the proportions of the oligoesters (Via),
(Vlb) and (Vic) in a mixture will depend on the effective molar ratio of the starting polyol (II) and
dicarboxylic acid (III) and the reaction conditions used in the esterification reaction. Where the
starting materials include groups that may be susceptible to decarboxylation reactions e.g. malonic
acid, or to branching reactions e.g. tricarboxylic acids such as citric acid (which may also be
susceptible to decarboxylation) the use of relatively gentle oligomerisation (esterification)
conditions can be useful to obtain the desired product. We have found that not adding a separate
catalyst (the acid groups in the starting materials will provide some catalysis), while operating
under relatively moderate elevated temperatures as is described below, can enable successful
reactions with such materials, particularly malonic and citric acids, where the use of catalysts may
in effect act to promote side reactions to an undesirable extent.
Especially where the polyol (II) has four or more carbon atoms and four or more hydroxyl groups,
usually two primary hydroxyls and 2 or more secondary hydroxyls, it may be susceptible to react to
form cyclic ethers. For example sorbitol can form sorbitan cyclic ethers which may react further to
form the dicyclic diether /so-sorbide. This reduces the number of free hydroxyl groups and is thus
generally undesirable, but may need to be taken into account in choosing the proportions of
starting materials for making the intermediate oligoester. Where the intermediate oligomer is
hydroxyl or predominantly hydroxyl ended, it may be desirable to use a molar excess of the polyol
(II) to promote speedy polyesterification in making the intermediate, leaving unreacted polyol at this
stage. We have not generally found it necessary to remove such unreacted polyol before the
second stage reaction.
We have found that it is practical to make the compounds of the formula (I), by first making the
oligoester (VI) by reaction of polyol (II) and dicarboxylic acid (III) under alkali catalysis and then
further reacting the oligomer with carboxylic acid (IV) and or alcohol (V). The same reaction vessel
may be used and it may not be necessary to separate or purify the oligomer, before further
reaction. Using alkali derived from alkali metals e.g. sodium or potassium hydroxide or carbonate,
particularly mild alkali such as carbonates, especially potassium carbonate, appears to be effective,
particularly when making oligoesters that are hydroxyl ended e.g. the bis-hydroxyl ended
oligoesters especially of the formula (la). Further such catalysts can be used for the further
esterification and it is thus possible to use the same catalyst used in the oligomerisation. If
required further catalyst may be added between the first and second stages of reaction.
In relation to the synthesis of the intermediate oligoesters, the present invention includes a method
of making an oligoester which comprises reacting a polyol (or a reactive derivative) with a
dicarboxylic acid (or a reactive derivative), under esterification conditions to form an oligoester.
In this aspect, the invention particularly provides a method of making an oligoester of the
formula (VI) as defined above which comprises reacting a polyol of the formula (II): HO-R2-OH, (or
a reactive derivative) with a dicarboxylic acid of the formula (III): HOOC-R3-COOH, (or a reactive
derivative), under esterification conditions to form the oligoester. As is noted above the oligoesters
can be bis-hydroxyl ended of the formula (Via), bis-carboxyl ended of the formula (Vic), or monohydroxyl
mono carboxyl ended of the formula (Via).
Desirably the esterification conditions include:
a the use of an alkali catalyst, particularly a mild alkali catalyst, especially potassium
carbonate; and/or
b a reaction temperature of from 100°C to 200°C, more usually from 120°C to 185°C and
desirably from 150°Cto 180°C, e.g. about 170°C; and/or
c a reaction pressure which is subambient, particularly from 50 to 250 mBar (0.5 to 25 kPa)
e.g. about 100 mBar (10 kPa).
In these reactions (making the oligoester intermediate or subsequent esterification to form the
surfactant compounds) carboxylic acid functionality may be substituted by reactive derivatives such
as lower e.g.C7 to C21l, particularly methyl or ethyl, esters, as in dialkyl esters of the
dicarboxylic acid (III) or esters of the acid (IV) which may be glycerides such as triglycerides having
residues of the fatty acid (IV), or anhydrides. We have successfully used acid anhydrides to make
the intermediate oligoesters, but care may be needed when using anhydrides because they are
relatively reactive and in making the oligomer they may react also with less reactive hydroxyl
groups thus potentially leading to branched oligomers which are likely to form water insoluble or
intractable gels of little value as emulsifiers even after subsequent esterification. Even more
reactive carboxylic acid derivatives such as acid halides will not generally be used for this reason.
Where esters are used as the source of the carboxylic acids, the catalyst used may be an alkali as
described above or a catalyst specifically for trans-esterification reactions e.g. titanate ester such
as tetrabutyl titanate.
Particularly where the polyol used in making the oligoester intermediate has more than 3 hydroxyl
groups e.g. where it has five or more hydroxyl groups, particularly on adjacent carbon atoms, the
polyol may be liable to react such as by cyclising e.g. to form sorbitan from sorbitol, or pyrolysis, if
heated sufficiently. Thus, when these materials are used, it is desirable to use temperatures that
are lower that are typically in making carboxylic acid esters, particularly with relatively long chain
acids. Typically, using such materials, the temperatures used will be at least 100°C, more usually
at least 120°C and desirably at least 150°C, but not more than 200°C, more usually not more than
185°C, particularly not more than 180°C, with reaction temperatures about 170°C, being particularly
suitable. Such relatively mild esterification temperatures also appear to avoid or reduce the extent
of reaction at secondary hydroxyl groups this minimising the degree of branching in the oligoester
intermediate of side chain esterification in the surfactant compounds. The use of mildly
subambient pressure e.g. from 50 to 250 mBar (0.5 to 25 kPa) e.g. about 100 mBar (10 kPa) can
benefit reaction speed to make the use of such temperatures more practical.
If the materials produced by the synthesis are coloured, particularly by coloured impurities, then the
level of colour may be reduced by treatment with activated carbon and/or by bleaching e.g. with
hydrogen peroxide particularly in making products for personal care end use applications.
The compounds of this invention can be made to have a range of water and/or oil solubility and
thus can be used as surfactants in water or oil based systems. In particular, the compounds of the
invention may have HLB values in the range 4 to 18, including the relatively hydrophilic range 8 to
18 and the relatively oleophilic (hydrophobic) range 4 to 6.
Surfactants used in water based systems are generally water soluble, having an HLB greater than
7, particularly from 8 to 18. Such materials can be used as oil in water emulsifiers, particularly in
personal care applications; as dispersants for pigments; as emulsifiers in emulsion polymerisation;
as wetting agents in aqueous systems; as surfactants in domestic detergents, particularly in
laundry formulations; in crop protection formulations particularly as adjuvants, dispersants and/or
emulsifiers in agrochemical formulations; and other applications.
The properties of the surfactants of this invention also make them suitable as emulsifiers
particularly in oil in water emulsions e.g. in personal care applications. Personal care emulsion
products can take the form of creams and milks desirably and typically include emulsifier to aid
formation and stability of the emulsion. Typically, personal care emulsion products use emulsifiers
(including emulsion stabilisers) in amounts of about 3 to about 5% by weight of the emulsion.
The oil phase of such emulsions are typically emollient oils of the type used in personal care or
cosmetic products, which are oily materials which is liquid at ambient temperature or solid at
ambient temperature, in bulk usually being a waxy solid, provided it is liquid at an elevated
temperature, typically up to 100°C more usually about 80°C, so such solid emollients desirably
have melting temperatures less than 100°C, and usually less than 70°C, at which it can be included
in and emulsified in the composition.
The concentration of the oil phase may vary widely and the amount of oil is typically from 1 to 90%,
usually 3 to 60%, more usually 5 to 40%, particularly 8 to 20%, and especially 10 to 15% by weight
of the total emulsion. The amount of water (or polyol, e.g. glycerin) present in the emulsion is
typically greater than 5%, usually from 30 to 90%, more usually 50 to 90%, particularly 70 to 85%,
and especially 75 to 80% by weight of the total composition. The amount of surfactant used on
such emulsions is typically from 0.1 to 10%, more usually 0.5 to 8%, more desirably 1 to 7%,
particularly 1.5 to 6%, and especially 2 to 5.5%, by weight of the emulsion.
The end uses formulations of such emulsions include moisturizers, sunscreens, after sun products,
body butters, gel creams, high perfume containing products, perfume creams, baby care products,
hair conditioners, skin toning and skin whitening products, water-free products, anti-perspirant and
deodorant products, tanning products, cleansers, 2-in-1 foaming emulsions, multiple emulsions,
preservative free products, emulsifier free products, mild formulations, scrub formulations e.g.
containing solid beads, silicone in water formulations, pigment containing products, sprayable
emulsions, colour cosmetics, conditioners, shower products, foaming emulsions, make-up remover,
eye make-up remover, and wipes. A preferred formulation type is a sunscreen containing one or
more organic sunscreens and/or inorganic sunscreens such as metal oxides, but desirably includes
at least one particulate titanium dioxide and/or zinc oxide,
The surfactants of this invention can be used as emulsifiers in emulsion polymerisation. Typically
emulsion polymerisation is carried out on emulsions of ethylenically unsaturated monomers in
water. Suitable monomers include unsaturated carboxylic acids and their alkyl esters, amides,
N-substituted amides and nitriles, aromatic vinyl compounds, diene compounds which may be
included as monomers or specifically as crosslinking agents, vinylethers, vinylesters, defines and
hydrophobic allyl compounds.
Such emulsion polymerisation methods are particularly applicable to the manufacture of acrylic
copolymers, for example those where at least 50%, more usually at least 60%, desirably at least
80% e.g. 90% or more up to 100%, by weight of the monomers are acrylic monomers. The acrylic
polymers may be those based on mixed alkyl acrylates, especially where the predominant
monomer is methyl methacrylate, and may include anionic units such as (meth)acrylic acid units or
cationic units such as amino substituted ethylenically unsaturated monomers.
The amount of surfactant used will depend on the particular monomers and the polymerisation
system used, the degree of colloidal stability needed and the desired particle size of the polymer in
the product latex. For an otherwise conventional oil in water emulsion polymerisation, to give a
latex having a particle size of from 80 to 500 nm the amount of surfactant used will typically be from
0.25 to 5 parts by weight surfactant per 100 parts by weight total monomer (phm). More usually
the amount will be from 0.5 to 2.5 phm, particularly from 1 to 2 phm.
In microemulsion polymerisation systems, the concentration of monomer is typically substantially
lower than in conventional emulsion or other dispersion polymerisation systems e.g. from 3 to 10%
by weight. The proportion of surfactant relative to the amount of monomer is also relatively high
because the microemulsion has higher interface area per unit mass of monomer corresponding to
the smaller emulsion particle size and typical levels can be from 10 to 150 phm. Overall solids
contents of microemulsion systems are usually in the range 15 to 30% by weight of the total
emulsion.
The surfactants of this, invention can be used as dispersants for solids in aqueous media,
particularly for pigments, including inorganic pigments e.g. titanium dioxide, pigmentary iron oxide
and organic pigments e.g. phthalocyanine pigments, carbon black, and similar materials. The
amount of surfactant used in such dispersant applications depends on the materials employed and
the dispersion concentration required, but is usually from 0.2 to 10% by weight of the solid e.g.
pigment being dispersed. In aqueous dispersions, for inorganic pigments the amount used is
typically from 0.05 to 5%, more usually 0.1 to 2.5%, by weight of the solid dispersed and for organic
pigments typically the amount used is from 3 to 10% by weight of the solid dispersed. Typical such
dispersions will contain up to about 70%, often up to about 65%, of inorganic pigment and up to
about 35% by weight organic pigment, but this may be up to 50% for pigment pastes. When
incorporated into end use products such as paints typical pigment levels in the final product will be
about 3 to about 30%, particularly about 20 to about 25%, for inorganic pigments, about 1 to about
15% for organic pigments, particularly about 10 to about 12%, especially for phthalocyanine type
organic pigments, and about 0.5 to about 5%, particularly about 3 to about 3%, for carbon black.
The continuous phase in such dispersions will usually be water based.
The surfactants can also be used as domestic detergents for example in laundry applications and
may be used alone or in combination with other, non-ionic, anionlc, cationic, amphoteric and/or
zwitterionic surfactants. Formulations including surfactants of this invention for laundry use will
typically also include further components including one or more of builders e.g. phosphates,
particularly sodium tripolyphosphate; organics such as citrate and/or tartrate; and/or zeolites; flow
and/or filter aids, commonly used in powder formulations, which may include co-builders such as
sodium carbonate and/or bicarbonate, particularly in powders where the builder is a zeolite (though
because typical co-builders are alkali, they will not usually be used in hand washing formulations);
corrosion inhibitors; anti-redeposition aids such as carboxy methyl cellulose; and optical
brighteners. Further components may include perfumes; enzymes, including lipases, proteases,
cellulases and/or amylases; bleaches, typically based on sodium perborate, sodium percarbonate
or similar materials, which will typically be used with bleach activators such as tetra-acetyl ethylene
diamine (TAED); and stabilisers such as phosphonates or ethylene diamine tetra-acetic acid
(EOTA) usually as the sodium salt; soaps; foam control agents (often soaps) and fabric
conditioners (softeners) such as quaternary ammonium salts and amine oxides which may be
coated onto bentonite type clays.
The compounds of the invention can used as surfactants in agrochemical formulations, in particular
as adjuvants for example with herbicides, fungicides, insecticides, acaricides and plant growth
regulator formulations, dispersants and/or emulsifiers. The amount of surfactant used to disperse
agrochemical(s), is typically at a concentration of 1 to 30% based on the formulation and used as
adjuvants, a concentration of from 5 to 60% based on concentrate formulations and 1 to 100% in or
as components for addition to tankmixes. Other conventional components can be included in such
formulations such as oils e.g. mineral oil(s), vegetable oil(s) and alkylated vegetable oil(s); solvents
and/or diluents; and other surfactants which may be anionic surfactants, cationic surfactants or
non-ionic surfactants. Such other components will, as with formulations using purely conventional
surfactants, be used in amounts based on the desired effect.
The surfactants of the invention can also be used in oilfield applications e.g. as foaming agents in
foam drilling, as kinetic gas hydrate inhibitors and as water based drilling fluid lubricants.
Foam drilling fluids are water based drilling fluids In which the water phase is foamed e.g. to
minimise formation damage of water sensitive formations. As foaming agents in foam drilling fluids
the amount of the surfactant used will typically be from 1 to 3%, more usually from 1 to 2%, by
weight of the drilling fluid.
Kinetic gas hydrate inhibitors are materials added to water containing hydrocarbon, particularly C1
to C4 hydrocarbon alkane containing streams to slow down gas hydrate formation or to modify the
crystal form of the gas hydrate so as to reduce crystal agglomeration which otherwise would lead to
pipe or similar blockage. In gas hydrate inhibition, the surfactants will typically be used at from
0.05 to 5% by weight based on the water phase of the stream being treated.
The surfactant compounds of the invention may be used to provide enhanced lubricity in water
based drilling fluids. In use in this application the amount of surfactant used will typically be from
0.05 to 10% by weight of the fluid.
Surfactants used in oil based systems are generally oil soluble and usually water insoluble and in
particular having an HLB of less than 7, more usually from 4 to 6. Such materials can be used as
emulsifiers and/or stabilisers for water in oil emulsions; or as dispersants for solids in non-aqueous
liquids. As such they can be used in a wide variety of applications including in: (water in oil)
emulsion polymerisations, particularly to make polyacrylamide (PAM) or related polymers by free
radical inverse emulsion polymerisation (i-PAM); emulsion explosives; in water in oil cosmetic
emulsions; agrochemical, particularly plant growth regulator, herbicide, and/or pesticide, emulsions
dispersions and suspoemulsions; and as emulsifiers and/or dispersants; dispersions of solids, such
as pigments and/or inert inorganic metal salts, especially in organic media; oilfield drilling fluid
additives, particularly as dispersants and/or emulsifiers for drilling muds and invert emulsion drilling
fluids; metal working applications particularly in rolling oil emulsions and cutting fluids.
The surfactants of the invention can be used as emulsifiers in i-PAM'polymerisation, in which
acrylamide and any co-monomer(s), are dissolved in water, this solution is emulsified in oil, using
surfactants as emulsifiers and stabilisers, and the polymerisation initiated. The result is a
dispersion of water droplets, containing dissolved PAM, in the oil. Although the viscosity of the
aqueous PAM solution is high, the effective viscosity of the emulsion is determined primarily by the
oil continuous phase, chosen to be suitably low. In use e.g. in water treatment, the emulsion has to
be broken, usually by inverting on dilution into water. The surfactant system must provide
adequate emulsion stability before, during and after (for storage) polymerisation, but permit ready
breaking of the emulsion during inversion on dilution into water, to facilitate rapid release of the
polyacrylamide polymer into the water phase in which it will act. Inversion is commonly promoted
by the addition of hydrophilic surfactants after the polymerisation. Relatively oleophilic surfactants
of the invention can be used to emulsify and/or stabilise the water in oil emulsion used in this type
of polymerisation process.
In i-PAM, the oil phase is typically a mineral oil, particularly a paraffin oil, or an ester oil and the
amount of emulsifier surfactant used is typically from 2.5 to 7%, usually from 3 to 4%, by weight of
the polymerisation emulsion. The emulsifier system will typically combine a polymeric surfactant,
particularly including a surfactant of invention especially of the formula (I), and a low molecular
weigh low HLB surfactant (relatively less effective as an emulsion stabiliser so that the stabilisation
of the emulsion is not so good that inversion is difficult) - the low molecular weight enables it to
readily diffuse away from the phase interface during inversion. Commonly the low molecular
eight surfactants are fatty acid monoglycerides, fatty acid sorbitan esters or similar surfactants.
The relative proportions by weight of polymeric surfactant to low HLB low molecular weight
surfactant is typically from 5:95 to 50:50 more usually from 10:90 to 40:60 and commonly about
15:85 to 30:70.
Oleophilic types of surfactants of this invention can also be used in dispersing solids, particularly
pigments such as those described above, in non-aqueous media such as white spirit or aromatic
media. In such uses the amount of surfactant used will typically be from 0.5 to 7.5%, more usually
from 1 to 5%, by weight of the dispersion.
The compounds of the invention are also useful as emulsifiers or emulsion stabilisers in emulsion
explosives in which an oxidiser, typically an aqueous solution of an oxidiser salt usually nitrates, is
emulsified in a liquid fuel, typically a hydrocarbon fuel such as mineral and/or paraffin oil, which
may also include other petroleum components e.g. micro-crystalline wax, paraffin wax, slack wax,
and/or petroleum refining distillation residues. The oxidiser solution is usually a saturated or
supersaturated aqueous solution, of nitrate salts, particularly C7 to C21 alkali metal nitrates or
alkaline earth metal nitrates, optionally with minor proportions of other salts e.g.C7 to C21and
typically contains 40% to 70% by weight ammonium nitrate and 20% of other nitrates. The internal
oxidiser phase is typically at least 75% more usually more than 90% e.g. about 95%, by volume of
the emulsion explosive. For use, emulsion explosives typically also include additives to sensitise
the compositions to detonation. Commonly this is done by adding materials that provide solid
surfaces e.g. solid C7 to C21, especially as prills, or gas filled voids e.g. by including sodium nitrite,
which produces gas by chemical reaction, or glass microspheres, which provide physical voids.
The compounds of the invention particularly of the formula (I) can be used as emulsifiers alone or
in combination with other typically oil soluble emulsifiers particularly sorbitan fatty acid esters such
as sorbitan mono oleate (SMO); phospholipids such as soyalecithin or oxazoline or imidazoline
derivatives thereof; PIBSA alkanolamine reaction products; or fatty acid condensation products with
polyethylene glycols. The total amount of emulsifier used in emulsion explosives is typically from
0.5 to 5%, more usually from 1 to 4%, by weight based on the overall emulsion. Desirably, the
proportion of emulsifier of the formula (I) is at least 50%, more usually at least 75%, by weight of
the total emulsifier used in the emulsion explosive.
The compounds of the invention can be used as water in oil dispersants and/or emulsifiers in
personal care and cosmetic applications, in particular, in formulations including relatively high
concentrations of solutes in a dispersed hydrophilic phase and in the manufacture of multiple
emulsions. The oil phase used in this aspect of the invention is typically an emollient oil which may
be liquid or solid at ambient temperature.
The discontinuous, usually aqueous, phase can be water or a water based liquid, or a hydrophile
phase which can be a solution in water of the hydrophilic material or the discontinuous phase can,
in certain cases, be a substantially water free liquid phase of the hydrophilic material. In such
systems the surfactant of the invention is typically used in an amount of 0.5 to 5%, more usually
from 1 to 2%, by weight of the total emulsion.
The surfactants of this invention can be used as emulsifiers and/or dispersants in agrochemical
applications. The invention accordingly includes an agrochemical emulsion or dispersion, in which
at least one surfactant compound of the invention, particularly of the formula (I), is included as an
emulsifier or dispersant. Within this, more particularly the invention includes:
i an agrochemical emulsion including an agrochemically active material which is dissolved,
dispersed or emulsified in a first liquid component, the first liquid component being emulsified
in a second liquid component;
ii an agrochemical formulation including an agrochemically active material which is dissolved,
dispersed or emulsified in a first liquid component, a second liquid component being
emulsified in the first liquid component;
iii an agrochemical dispersion in which a solid component is dispersed in a liquid phase.
The agrochemically active material(s) included in the emulsions and/or dispersions in this aspect of
the invention can include one or more plant growth regulators, herbicides, and/or pesticides, for
example insecticides, fungicides, acaricides, nematocides, miticides, rodenticides, bactericides,
molluscicides and bird repellants. Examples of classes of actives include: Herbicides: including
water soluble, particularly non-selective, herbicides, particularly /V-phosphonomethyl glycine
herbicides e.g. Glyphosate and Sulfosate, and the glufosinate and bipyridyl types of non-selective
herbicides, triazines, substituted ureas, sulphonyl ureas, pyridine carboxylic acids, aryloxy alkanoic
acids, 2-(4-aryloxy-phenoxy)propionic acids, bis-carbamates; Fungicides: including
thiocarbamates, particularly alkylenebis(dithiocarbamate)s, strobilurins, dicarboximides,
benzimidazoles, azoles, inorganic fungicides; Insecticides including benzoyl ureas; and Acaricides
including tetrazines.
Particular applications of the polymeric surfactants of the invention in agrochemicals include:
Concentrated emulsions which contain both aqueous and non-aqueous phases with the continuous
phase usually being aqueous.
Oil in water agrochemical emulsions are generally non-transparent white emulsions which are
applied after further dilution in the spray tank.
Water in oil emulsions which are generally non-transparent (white) emulsions and are typically
commercialised as ready to use formulations, ultra low volume systems, and other specialty
applications.
Dispersions, in an aqueous or oil based liquid, of solid components which commonly will be
insoluble actives, particularly fungicides or herbicides, but may be non-agrochemically active
insoluble solid components.
Suspoemulsions which are systems in which at least one liquid and at least one solid disperse
phase is included in a continuous phase, which is usually aqueous.
Combination formulations, particularly concentrated dispersions in which the compounds of the
formula (I) can be used as dispersants in formulations which combine agrochemicals having
different physical forms or presentations in formulation and/or different activities.
In agrochemical compositions, the surfactants of the invention, particularly of the formula (I), can
be used alone or in combination with other polymeric surfactants, but desirably, the proportion of
surfactant of the invention , particularly of the formula (I), is at least 50%, more usually at least
75%, by weight of the total polymeric surfactant used as emulsifier and/or stabiliser and/or
dispersant in the composition.
One area of practical importance in this aspect of the invention is sunfilters and sunscreens or
other cosmetics containing sunfilter and/or sunscreen components. The sunfilters or sunscreens
can be physical sunscreens such as those based on titanium dioxide e.g. ultra-fine titanium
dioxide, or zinc oxide, which are understood to act by strongly scattering ultraviolet radiation, or
chemical sunfilters or sunscreens such as compounds that absorb ultraviolet radiation, particularly
UVB and UVA sunscreen agents. The amount of sunfilters and/or sunscreen used will depend on
the properties of the materials used, but typically for physical sunscreens the amount will be 0.1 %
to 5%, more usually from 0.25 to 2.5%, by weight of the overall emulsion and for chemical sunfilters
and/or sunscreens 0.05 to 3%, more usually from 0.1 to 1.5%, by weight of the overall emulsion.
Depending on their nature the sunfilter and sunscreen components may be present in the generally
aqueous discontinuous phase or in the oil continuous phase or in both phases. Particularly where
the sunscreens is a physical sunscreen, the overall emulsion will be combined suspension and
emulsion and these are commonly referred to as suspoemulsions (see further below).
Suspoemulsions are a further important area in this aspect of the invention. They are briefly
referred to above in connection with sunscreens, but other solid components can be included such
as pigments as are often included in make up cosmetics. When pigments are used, they may be
pigments organic or inorganic and may be present in the oil phase, particularly for organic
pigments and hydrophobic inorganic pigments, or in the present in the water phase, particularly for
hydrophilic inorganic pigments, or in both phases, when used are typically present in
concentrations of from 0.5 to 20% more usually from 1 to 10%, by weight of the emulsion. ,
Generally the amount of the compound of the formula (I) used in cosmetic compositions of this
aspect of the invention is from 0.5 to 7%, more usually from 1 to 5%, by weight of the formulation.
The compound of the formula (I) can be used alone or in combination with other polymeric
emulsifiers, but desirably, the proportion of the compound of the formula (I) is at least 50%, more
usually at least 75%, by weight of the total emulsifier used in stabilising the cosmetic emulsion.
The surfactant compounds of the invention may also be used as demulsifiers in oilfield
applications. Demulsifiers are typically used to aid separation of water emulsified in the
hydrocarbon phase of oils. In use as demulsifiers, the amount of surfactant used as a demulsifier
will typically be from 1 to 500 ppm, particularly from 5 to 150 ppm, by weight of the oil stream.
The surfactant compounds of the invention may also be used as emulsifiers and/or lubricants in
metal working applications particularly in rolling oil emulsions and cutting fluids.
The compounds of the invention can further be used as dispersants finely divided solids in nonaqueous
fluids, particularly liquid organic media. Examples of such materials include pigments,
particularly for paints and solvent inks; dyes including disperse dyes; magnetic metal oxides;
extenders and fillers; optical brightening agents; and textile auxiliaries; solids for oil based and
invert emulsion drilling muds; dirt and solid particles in dry cleaning fluids; and magnetic materials
for magnetic recording media. The medium is typically an oil such as a hydrocarbon or A natural or
synthetic ester oil, or a coating composition resin such as an alkyd resin, or special mixture of
glycols typically used in the preparation of multi-purpose pigment pastes or pigment concentrates.
Such dispersions typically contain from 5 to 95%, more usually from 10 to 60%, and especially from
20 to 50%, by weight of the solid, depending on the nature of the solid and the relative densities.
The dispersion may be made by conventional method for making dispersions.
The following Examples illustrate the invention. All parts and percentages are by weight unless
otherwise stated.
(Table Removed)
Acid Value (AV) was measured by the method of ASTM D1980-87.
Emulsion Stability ,
Oil in water emulsions (1 %w/w emulsifier, 20% w/w oil) were prepared by weighing 158 g of
demineralised water into a 400 ml tall form beaker, adding 2 g of test emulsifier and stirring the
mixture using a magnetic flea and hotplate/stirrer at room temperature until completely dissolved.
40 g of Oil 1 were then added to the aqueous solution and the mixture homogenised using an Ultra
Turrax T25 blender at 11000 rpm (ca 183 Hz) for 2 mins. The resultant emulsion was transferred
to two 50 ml volumetric cylinders, one of which was stored at room temperature (Amb) and the
other in a hotbox at 50°C. The emulsion mean droplet size (in urn) of the stored samples was
measured using a Coulter Multisizer II after 1 day (1D), 1 week (1W), and 1 month (1M).
Synthesis Examples
Example SE1 - Poly(sorbitol adipate) laurate
Anhydrous sorbitol (182 g; 1 mol), adipic acid (87.6 g; 0.6 mol) and potassium carbonate (9.66 g;
7 mol% based on sorbitol) were charged to a 250 ml rourjd bottomed flask fitted with a propeller
stirrer, side-arm water condenser and collection flask, vacuum pump, nitrogen sparge and
thermometer (thermocouple) and on an isomantle. The mixture was heated under stirring (200
rpm) to distil off free water (mostly at below 130°C); vacuum (100 mbar) was then applied and the
temperature was increased to 170°C and held until the acid value of the mix was (normally 3 to 4 hrs). The vacuum was then released and molten lauric acid (30.1 g; 0.15 mol) at
ca. 90°C was added. Vacuum (500 mbar) was re-applied and the mix stirred (300 rpm) with the
nitrogen sparge until the acid value was the vacuum was then released and the product discharged.
The structure of the product was confirmed using MALDI mass spectrometry and gel permeation
chromatography.
Further esters of oligopolyol esters were made by the general method set out in Example SE1 but
making changes to the starting materials, material proportions or conditions. Table 1a below
(including SE1 for completeness) sets out the diacid and other materials used and reaction
conditions for the oligomerisation esterification and Table 1b the monoacid and reaction conditions
for the second stage esterification together with some information on the properties of the products
made. In these tables, the molar % figures are based on the polyol used.
In making these compounds variations of the synthetic route described in Example SE1 were also
used. In particular anhydrous sorbitol could be substituted for the aqueous sorbitol used in SE1
and for materials including succinic acid residues succinic anhydride could be used instead of
succinic acid e.g. using the following procedure:
200 g anhydrous sorbitol (1.10 mol), 65.9 g (0.66 mol) succinic anhydride and 11.5 g (7.5 mol%
based on sorbitol) potassium carbonate were charged to a 500 ml round bottomed flask equipped
as in SE1. The mixture was heated under stirring (200 rpm) to 140°C. After SOmins at this
temperature, a sample was taken for FT-IR analysis (to confirm the absence of anhydride). The
temperature was increased to 165°C and a vacuum (100 mbar) was applied. The reaction was
maintained under these conditions until the acid value of the reaction mix was (normally 3 to 4 hrs). The vacuum was released and the product discharged.
Using these methods the products were very similar to corresponding compounds made using the
method of SE1.
(Table Removed)
Test oil in water emulsions were made up using the following general emulsion formulation:
(Table Removed)




Claims
1 A surfactant compound which is a fatty mono-or di-ester of an oligoester of a dicarboxylic
acid and a polyol which after polyesterification retains at least one free hydroxyl group.
2 A compound as claimed in claim 1 of the formula (I)
R1-[OR20-C(0)-R3-(0)C-]m-R4 (I)
where
R1 is H, a group R5(O)C-, or a group R6O-[C(O)-R3-(O)C]-;
each R2 is independently a 03 to C-JQ hydrocarbyl group including at least 1 substituentfree
hydroxyl group;
each R3 is independently a C1 to C20, particularly a C2 to C20, hydrocarbylene group;
R4 is -OH, -OM where M is a salt forming metal, an amine or ammonium group, a group -
OR6, or a group -OR2O-R7;
R5 is a C7 to C21 aliphatic hydrocarbyl group;
each R6 is independently a C8 toC22 aliphatic hydrocarbyl group;
R7 is H or a group -C(O)R5 where R5 is independently as defined above; and
m is from 1 to 20;
provided that at least one of R1 and R4 is or includes a group including a Cj to 621
hydrocarbyl group.
3 A compound as claimed in claim 2 which is
a) a fatty acid mono- and bis-ester of a bis-hydroxyl ended oligoester intermediate, of
the formula (la):
R1 a-[OR20-C(0)-R3-(0)C-]m-OR20-R4a (la)
where
each R2, each R3 and m are independently as defined in claim 2 for formula (I);
R1a is a group R5(O)C-; and
R4a is -H, or a group -C(O) R5;
where each R5 is Independently as defined in claim 2 for formula (I); or
b) a fatty acid or fatty alcohol mono- and fatty acid fatty alcohol bis-ester of a hydroxyl
carboxyl ended oligoester intermediate, of the formula (Ib):
R1 b-[OR20-C(0)-R3-(0)C-]m-R4b (Ib)
each R2, each R3 and m are independently as defined in claim 2 for formula (I);
R1b is H or a group R5(O)C-;
R4b is -OH, -OM, where M is a salt forming metal or amine or ammonium
group, or a group -OR6;
where each R5 and R6 is independently as defined in claim 2 for formula (I),
provided that at least one of R1 b and R4b is or includes a CQ to 022 group; or
c) a fatty alcohol mono- or bis-ester of a bis-carboxyl ended oligoester intermediate,
of the formula (Ic):
R1 c-[OR2O-C(0)-R3-(O)C-]m-OR4c (Ic)
each R2, each R3 and m are independently as defined in claim 2 for formula (I);
R1 c is a group R6O-C(O)-R3-(O)O; and
R4° is H or a salt forming metal or amine or ammonium group or a group -OR6;
where each R6 is independently as defined in claim 2 for formula (I).
3 A compound as claimed in either claim 2 or claim 3 wherein the group R2 contains from 1 to
6 free hydroxyl groups.
4 A compound as claimed in claim 3 wherein the group R2 is a group of the formula:
-(CH2)p.j(CHOH)p2(CH2)p3-where p1 and p3 are each independently from 1 to 3, and p2 is
from 1 to 6.
5 A compound as claimed in claim 4 wherein p1 and p3 are each 1, and p2 is 4.
6 A compound as claimed in any one of claims 2 to 5, wherein the group R3 is a group
-(CH2)n-, where n is from 2 to 10.
7 A compound as claimed in claim 6 wherein n is 4.
8 A compound as claimed in any one of claims 2 to 7, wherein the group R5 is a Cj to C-j 7,
alkyl, alkenyl or alkadienyl group and the group R6 is a Cg to C^g alkyl, alkenyl or alkadienyl
group.
9 A compound as claimed in any one of claims 2 to 8, wherein the index m is from 3 to 20
10 A compound as claimed in claim 6 wherein m is from 3.5 to 10, particularly 4 to 7.
11 A method of making a compound as claimed in any one of claims 1 to 10 which comprises
reacting a precursor oligoester (or a reactive derivative) with a reactant which is either or
both of fatty monocarboxylic acid (or a reactive derivative) or a fatty alcohol (or a reactive
derivative) under esterification conditions to form a fatty ester surfactant of the oligoester
intermediate.
12 A method as claimed in claim 11 of making a compound of the formula (I) as defined in any
one of claims 2 to 10 which comprises reacting a precursor oligoester (or a reactive
derivative) with a reactant which is either or both of a Cg to €22 monocarboxylic acid (IV):
. R5COOH, or a reactive derivative, or a Cg to 622 alcohol (V): R6OH (or a reactive
derivative) under esterification conditions to form a fatty ester surfactant of the formula (I),
where R5 and R^ are as defined in any one of claims 2 to 10.
13 An emulsion including a compound as claimed in any one of claims 1 to 10 as an emulsifier.
14 An emulsion as claimed in claim 13 in the form of a oil in water personal care emulsion in
which the disperse oil phase is an emollient oil or wax.
15 An as claimed in claim 14 in the form of a cream or a milk and including from 3 to 5% by
weight of the emulsion of emulsifier and/or emulsion stabiliser.
16 A method of emulsion polymerisation in which an emulsion of one or more ethylenically
unsaturated monomers in water emulsified with a compound as claimed in any one of claims
1 to 10 is subjected to free radical polymerisation..
17 A dispersion of a solid in an aqueous medium including from 0.2 to 10% by weight of the
solid of a compound as claimed in any one of claims 1 to 10.
18 A laundry detergent formulation including a compound as claimed in any one of claims 1 to
10.
19 An agrochemical formulation including a compound as claimed in any one of claims 1 to 10
as an adjuvant, dispersant and/or emulsifier.
20 A foam drilling fluid including from 1 to 3% by weight of the drilling fluid of a compound as
claimed in any one of claims 1 to 10 as a foaming agent.
21 A method of inhibiting gas hydrate formation which comprises including in a water containing
hydrocarbon stream subject to hydrate formation a compound as claimed in any one of
claims 1 to 10 as a gas hydrate inhibitor.
22 A water based drilling fluid including from 0.05 to 10% by weight of the drilling fluid of a
compound as claimed in any one of claims 1 to 10 as a lubricating agent.
23 A method of polymerising or copolymerising acrylamide in which acrylamide and any
co-monomer(s), are dissolved in water, this solution is emulsified in oil, and the
polymerisation initiated, in which a compound as claimed in any one of claims 1 to 10 as an
emulsifier.
24 A method as claimed in claim 23 wherein the amount of emulsifier used is from 2.5 to 7% by
weight of the polymerisation emulsion.
25 A dispersion of a solid in a non-aqueous medium including from 0.5 to 7.5% by weight of the
dispersion of a compound as claimed in any one of claims 1 to 10.
26 An emulsion explosive comprising an emulsion of an aqueous solution of an oxidiser salt in a
liquid fuel including from 0.5 to 5% by weight based on the overall emulsion of a compound
as claimed in any one of claims 1 to 10 as an emulsifier.
27 A personal care emulsion or dispersion comprising a continuous phase of an emollient oil
having dispersed therein a water based liquid, or a hydrophile phase and including a
compound as claimed in any one of claims 1 to 10 as an emulsifier and/or dispersant.
28 A dispersion as claimed in claim 27 which includes one or more sunscreen component.
29 A method of demutsifying a stream containing water emulsified in oil comprising adding to
the stream from 1 to 500 ppm by weight of the oil stream of a compound as claimed in any
one of claims 1 to 10 as a demulsifier.
30 A metal working fluid including a compound as claimed in any one of claims 1 to 10 as an
emulsifier and/or lubricant.
31 A method of making an oligoester which comprises reacting a polyol (or a reactive
derivative) with a dicarboxylic acid (or a reactive derivative), under esterification conditions to
form the product oligoester.

Documents:

2751-delnp-2007-Abstract-(15-05-2013).pdf

2751-delnp-2007-abstract.pdf

2751-delnp-2007-claims.pdf

2751-delnp-2007-correspodence-others.pdf

2751-delnp-2007-Correspondence Others-(15-05-2013).pdf

2751-delnp-2007-Correspondence-Others-(03-05-2013).pdf

2751-delnp-2007-Correspondence-Others-(22-07-2013).pdf

2751-delnp-2007-description (complete).pdf

2751-delnp-2007-form-1.pdf

2751-delnp-2007-form-2.pdf

2751-delnp-2007-Form-3-(03-05-2013).pdf

2751-delnp-2007-form-3.pdf

2751-delnp-2007-form-5.pdf

2751-delnp-2007-GPA-(15-05-2013).pdf

2751-delnp-2007-pct-101.pdf

2751-delnp-2007-pct-210.pdf

2751-delnp-2007-pct-237.pdf

2751-delnp-2007-pct-306.pdf

2751-delnp-2007-pct-308.pdf

2751-delnp-2007-pct-311.pdf

2751-delnp-2007-Petition-137-(15-05-2013).pdf


Patent Number 257294
Indian Patent Application Number 2751/DELNP/2007
PG Journal Number 39/2013
Publication Date 27-Sep-2013
Grant Date 21-Sep-2013
Date of Filing 13-Apr-2007
Name of Patentee CRODA INTERNATIONAL PLC
Applicant Address COWICK HALL SNAITH, GOOLE NORTH HUMBERSIDE DN14 9AA, GREAT BRITAIN
Inventors:
# Inventor's Name Inventor's Address
1 ALAN GEOFFREY WAITE 21 SHEARWATER AVENUE, DARLINGTON, CO DURHAM DL1 1DH, GREAT BRITAIN
2 ALAN GEOFFREY WAITE 21 SHEARWATER AVENUE, DARLINGTON, CO DURHAM DL1 1DH, GREAT BRITAIN
3 HANAMANTHSA SHANKARSA BEVINAKATTI 34 APSLEY WAY, INGLEBY BARWICK, CLEVELAND TS17 5GD, GREAT BRITAIN
PCT International Classification Number C11D 3/37
PCT International Application Number PCT/GB2005/004014
PCT International Filing date 2005-10-18
PCT Conventions:
# PCT Application Number Date of Convention Priority Country
1 0423072.8 2004-10-18 U.K.