a density functional theory study on lewis acid-catalyzed transesterification of β-oxodithioesters
TRANSCRIPT
A Density Functional Theory Study on LewisAcid-Catalyzed Transesterification of b-Oxodithioesters
Xiaokang Guo, Lihui Chen, Yanyan Zhu, Anqi Zhang, Donghui Wei,*and Mingsheng Tang*
The detailed mechanisms of the Lewis acid-catalyzed transes-
terification of b-oxodithioesters at a solvent-free condition
were studied using density functional theory. Five possible
reaction pathways, including one noncatalyzed (channel 1)
and four Lewis acid-catalyzed channels (SnCl2-catalyzed
channels 2 and 3 and SnCl2�2H2O-catalyzed channels 4 and
5), were investigated. Our calculated results indicate that the
energy barriers of the catalyzed channels are significantly
lower than that of channel 1. Channel 5, which has an
energy barrier of 33.70 kcal/mol as calculated at the B3LYP/
[6-31G(d, p)1LANL2DZ] level, is the most energy-favorable
channel. Moreover, one water molecule of SnCl2�2H2O par-
ticipated in the transesterification in channel 5. Thus, we
report a novel function of the SnCl2�2H2O catalyst, which is
quite different from the function of the conventional nonhy-
drated Lewis acid SnCl2. To understand the function of these
two Lewis acid catalysts better, the global reactivity indexes
and natural bond orbital charge were analyzed. This work
helps in understanding the function of the Lewis acid in
transesterification, and it can provide valuable insight for the
rational design of new Lewis acid catalysts. VC 2014 Wiley
Periodicals, Inc.
DOI: 10.1002/qua.24669
Introduction
Transesterification is commonly used in modifying the alkoxy
group of an ester into a new target functional group.[1–3]
Moreover, this method is more convenient than direct ester
synthesis from carboxylic acids and alcohols, because specific
carboxylic acids have poor solubility in organic solvents, which
leads to low reactant concentrations and obstructs homogene-
ous esterification.[4]
The transesterification of b-ketoesters has been a pervasive
approach in organic synthesis.[5–7] Methyl and ethyl b-ketoesters
are usually used as starting materials in transesterification because
they are readily or commercially available, whereas their other
counterparts can be a variety of alcohols.[8–10] Generally, transes-
terification does not occur without the presence of strong acids or
bases (corresponding to harsh conditions) and is very wasteful,
which does not meet the requirements of modern synthetic and
green chemistry.[4] Therefore, significant efforts have been dedi-
cated to the design of effective and highly chemoselective and
stereoselective catalysts, such as montmorillonite (MMT)-clay-
exchanged sulphonic acid,[11] iodine,[12] silica-based hybrid materi-
als,[13–16] K5CoW12O40�3H2O,[17] zinc(II) oxide,[3] lanthanum(III),[18]
CeO2,[19] and ionic liquid-regulated sulfamic acid.[20]
Recently, Devi et al. reported a novel and efficient method for
the facile transesterification of b-oxodithioesters promoted by
SnCl2 at a solvent-free condition (Scheme 1).[15] The short reac-
tion time, mild condition, good yields, and inexpensive catalysts
are the attractive features of this method. In their work, the ini-
tial transesterification of different methyl b-oxodithioesters with
various alcohols was performed in the presence of 5 mol%
SnCl2. SnCl2�2H2O was selected as the optimized catalyst in the
reaction thereafter. However, the detailed mechanisms of the
transesterification are still unclear, and several questions remain
unanswered. For example, how can the reaction occur? How do
Lewis acid catalysts complex with b-oxodithioesters? What is the
function of the catalyst? Why does SnCl2�2H2O work better than
SnCl2? All of the above questions prompted us to conduct a
theoretical study on the detailed mechanisms of the reaction.
In this study, we chose the Lewis acid-catalyzed transesterifi-
cation of methyl b-oxodithioester (R1, depicted in Scheme 1)
with 1-butanol (R2, depicted in Scheme 1) to generate n-butyl
b-oxothionoester (P1, depicted in Scheme 1) and methanethiol
(P2, depicted in Scheme 1) as our research subject. The den-
sity functional theory (DFT) approach (which has been widely
used in the study of reaction mechanisms[16],[21–38]) was also
used to investigate the detailed reaction mechanisms. More-
over, to understand the functions of these two Lewis acid cat-
alysts better, global reactivity indexes (GRI) and natural bond
orbital (NBO) charge analyses[39–43] were also performed.
Computational Details
All theoretical calculations were performed using Gaus-
sian09.[44] The geometrical structures of all stationary points
X. Guo, L. Chen, Y. Zhu, A. Zhang, D. Wei, M. Tang
Center of Computational Chemistry, College of Chemistry and Molecular
Engineering, Zhengzhou University, Zhengzhou, Henan 450001, People’s
Republic of China
E-mail: [email protected] (D. Wei) or
E-mail: [email protected] (M. Tang)
Contract/grant sponsor: The National Natural Science Foundation of China;
contract/grant numbers: 21303167, J1210060.
Contract/grant sponsor: The China Postdoctoral Science Foundation; con-
tract/grant number: 2013M530340.
VC 2014 Wiley Periodicals, Inc.
862 International Journal of Quantum Chemistry 2014, 114, 862–868 WWW.CHEMISTRYVIEWS.ORG
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were optimized at the B3LYP/[6-31G(d, p)1LANL2DZ] level.[45–47]
The B3LYP method consists of Becke’s three parameter hybrid
exchange function combined with the Lee–Yang–Parr correla-
tion function. The basis set used in this article was [6-31G(d,
p)1LANL2DZ], which included the Los Alamos effective core
potential plus double zeta basis set for Sn and the 6-31G(d, p)
basis set for the other atoms. The corresponding vibrational
frequencies were performed at the optimized geometry of
each reactant, product, transition state, and intermediate at
the same level to take into account the zero-point vibrational
energy. We confirmed that all the reactants and intermediates
have no imaginary frequencies, and each transition state has
only one imaginary frequency. In addition, the structures of
the transition states were reconfirmed using the intrinsic reac-
tion coordinate.[48,49] Additionally, we reoptimized several rep-
resentative stationary points in water, ethanol, DMSO, THF, and
CCl4 solvents at the B3LYP/6–31G(d, p) level via IEFPCM.[50,51]
Results and Discussion
Five possible reaction channels
Five possible reaction channels (depicted in Schemes 2–5)
were studied. As shown in Schemes 2–5, b-oxodithioester and
its three different catalyst-substrate complexes are denoted as
R1 and R3–R5, respectively, whereas 1-butanol is denoted as
R2. Likewise, b-oxothionoester products and its three different
catalyst-substrate complexes are denoted as P1 and P3–P5,
whereas methanethiol is denoted as P2. In each channel, we
set the energies of the two reactants at 0.00 kcal/mol in the
energy profile as reference. The details of the five possible
channels are illustrated below.
First, we explored the noncatalyzed reaction channel (chan-
nel 1). As shown in Scheme 2, we proposed and studied a
concerted reaction channel, in which R1 reacts with R2 to
generate products P1 and P2 via a four-membered ring
(S(1)AH(2)AO(3)AC(4)) transition state TS1. The two single-
bonds S(1)AC(4) and H(2)AO(3) break and two new single-
bonds S(1)AH(2) and O(3)AC(4) are formed in this process.
Figure 1 shows the structures and geometrical parame-
ters of the reactants, transition state, and products in chan-
nel 1. Moreover, Figure 1 shows that the bond lengths of
S(1)AC(4) and H(2)AO(3) are 1.751 (R1) and 0.967 A (R2),
respectively, whereas the distances of S(1)AH(2), H(2)AO(3),
O(3)AC(4), and C(4)AS(1) are 1.662, 1.183, 1.589, and 2.277
A (TS1), respectively. In addition, the bond lengths of
O(3)AC(4) and S(1)AH(2) are 1.329 (P1) and 1.349 A (P2),
respectively.
As shown in Figure 2, the energy barrier of this process in
channel 1 is 43.25 kcal/mol at the B3LYP/[6-31G(d, p)1LANL2DZ]
level, which is excessively high such that channel 1 will not occur
even upon heating.
Second, we tried to explain how this transesterification
occurs at a Lewis acid-catalyzed condition. The transesterifi-
cation was initially performed using 5 mol% SnCl2.[15] Upon
exploring the mechanism, the question “How does SnCl2
complex with b-oxodithioesters?” came up. The unoccupied
orbitals of the Sn metal center can accept electrons from
either electron-rich carbonyl oxygen or thiocarbonyl sulfur,
or from both of them.[52] Accompanied with the electron
transfer process, coordination bonds are formed, and the
coordination number of Sn increases. Herein, we suggested
and investigated the structures of possible complexes R3
and R4, which are depicted in Scheme 3. The coordination
number of Sn differentiates these two modes. The third
mode, in which only one coordination bond connects Sn
and the carbonyl oxygen, is neglected because the metal
center is substantially far from the thiocarbonyl carbon in
the optimized structures.
As shown in Scheme 3 and similar with channel 1, R3 (or
R4) reacts with R2 to form products P3 and P4 via the four-
membered ring (S(1)AH(2)AO(3)AC(4)) transition state TS2 (or
TS3). The two single-bonds S(1)AC(4) and H(2)AO(3) break,
and two new single-bonds S(1)AH(2) and O(3)AC(4) are
formed in those channels. The structures and geometrical
parameters of the reactants, transition states, and products
involved in channels 2 and 3 are shown in Figure 3.
Figure 3 shows that the bond lengths of S(1)AC(4) are 1.718
(R3) and 1.725 A (R4), respectively, whereas the distances of
S(1)AH(2), H(2)AO(3), O(3)AC(4), and C(4)AS(1) are 1.596,
1.269, 1.556, and 2.022 A (TS2), respectively, and 1.582, 1.298,
1.528, and 1.961 A (TS3), respectively. In addition, the bond
lengths of O(3)AC(4) are 1.321 (P3) and 1.309 A (P4).
Scheme 1. Lewis acid-catalyzed transesterification of methyl b-oxodithioester with 1-butanol.
Scheme 2. Noncatalyzed channel (channel 1).
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International Journal of Quantum Chemistry 2014, 114, 862–868 863
Based on our calculations, the two possible SnCl2-catalyzed
channels (channels 2 and 3) are also concerted reactions via
the four-membered ring transition states. The energy profiles
(Fig. 1) indicate that channel 3 is more favorable than channel
2, and each of the two catalyzed channels has a significantly
lower energy barrier than that of channel 1. Thus, we conclude
that the Lewis acid catalyst SnCl2 should form the coordination
bond with the thiocarbonyl sulfur of R1, which can make the
reaction occur at the experimental conditions.
In the experiment, the transesterification was optimized
using 5 mol% SnCl2�2H2O as replacement for the SnCl2 cata-
lyst.[15] Two coordination modes exist as well. First, the Sn
atom of the hydrated catalyst can form a coordination bond
with the thiocarbonyl sulfur atom exclusively, and second, it
can also form two coordination bonds with thiocarbonyl sulfur
and carbonyl oxygen. However, the latter substrate-catalyst
complex cannot be located. In addition, the two water ligands
increase the coordination number of Sn, thereby making it dif-
ficult to coordinate with the carbonyl oxygen. Hence, only the
possible SnCl2�2H2O-catalyzed channel (channel 4 as depicted
in Scheme 4) is suggested and studied hereafter.
As shown in Scheme 4, channel 4 has the same mechanism
as with channel 3 in all aspects except for catalyst SnCl2�2H2O.
Figure 4 presents the structures and geometrical parameters
of the reactants, transition state, and products in channel 4.
Figure 4 shows that the bond length of S(1)AC(4) is 1.723 A
(R5), whereas the distances of S(1)AH(2), H(2)AO(3), O(3)AC(4),
and C(4)AS(1) are 1.589, 1.294, 1.525, and 1.964 A (TS4), respec-
tively. In addition, the bond length of O(3)AC(4) is 1.318 A (P5).
However, as seen from Figure 5, the calculations show that
the energy barrier of channel 4 is 37.35 kcal/mol, which is 1.4
kcal/mol higher than that of channel 3 (35.95 kcal/mol,
depicted in Fig. 2). Moreover, the results seem to be inconsis-
tent with Devi’s experimental results.[15] Thus, a more energy-
favorable reaction channel should exist at the SnCl2�2H2O-cata-
lyzed condition.
Given the strong strain of the four-membered ring in all the
above four transition states, we suggested and investigated
another possible channel (channel 5), which is illustrated in
Scheme 5 and discussed below.
As seen from Scheme 5, a coordination water of the
SnCl2�2H2O catalyst participated in the reaction. During the
reaction process, O(7) extracts a proton H(2) from R2 and
donates another proton H(8) to the S(1) atom of R1. The two
single-bonds S(1)AC(4) and H(2)AO(3) break, and two new
single-bonds S(1)AH(2) and O(3)AC(4) are formed in this pro-
cess, thereby generating products P2 and P5. Figure 6 shows
the structure and geometrical parameters of the transition
state in channel 5. Figure 6 shows that the distances of
S(1)AH(8), O(7)AH(8), H(2)AO(7), H(2)AO(3), O(3)AC(4), and
C(4)AS(1) are 1.836, 1.096, 1.072, 1.433, 1.481, and 1.952 A
(TS5), respectively.
Figure 5 shows that the energy barrier of channel 5 is 33.70
kcal/mol, which is not a high energy barrier for transesterifica-
tion at the experimental condition (383 K). Moreover, it is 2.25
kcal/mol lower than channel 3 (35.95 kcal/mol, depicted in Fig.
2). Thus, the reaction can occur more easily during Lewis acid
SnCl2�2H2O catalysis, which is in agreement with the experi-
mental results.
Despite the fact that several mechanisms have been pro-
posed for base-catalyzed ester alcoholysis and that the over-
whelming majority of these were described in terms of
tetrahedral intermediates,[53,54] concerted mechanisms are still
reported and adopted in other works.[55–57] For example,
Salem et al. reported a concerted mechanism for the transfer
of the acetyl functional group between phenolate ion nucleo-
philes.[55] Based on ion cyclotron resonance experiments, Kim
and Caserio have shown the concertedness of acyl group
transfer in gas-phase reactions.[56] Zaramello et al. interpreted
the concerted mechanism of the acid-catalyzed ethanolysis of
butyric acid triglyceride in gas phase using DFT, and they con-
cluded that each step of the reaction proceeds through one
concerted transition state without the formation of a tetrahe-
dral intermediate.[57] We tried several times to locate the tetra-
hedral intermediate, but all attempts have failed. Moreover,
our calculated results also indicate that the possible tetrahe-
dral intermediates are also unstable at the experimental condi-
tion. Hence, the mechanism involving a short-lived tetrahedral
intermediate was not discussed in this work.
Figure 1. Structures and geometrical parameters of the stationary points optimized at the B3LYP/6-31G(d, p) level in channel 1 (distance in A). [Color figure
can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
Figure 2. Energy profiles of channels 1, 2, and 3 calculated at the B3LYP/[6-
31G(d, p)1LANL2DZ] level (unit: kcal/mol).
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864 International Journal of Quantum Chemistry 2014, 114, 862–868 WWW.CHEMISTRYVIEWS.ORG
In addition, the distances between the chloride and hydro-
gen atoms of alcohol in every transition state geometries were
measured; however, none is shorter than 4 A. Therefore, no
hydrogen bond network is in the transition states, which
should help the stability of transition states and lower the
energy barrier.
Scheme 3. Two possible channels catalyzed by SnCl2 (channels 2 and 3).
Figure 3. Structures and geometrical parameters of the stationary points optimized at the B3LYP/[6-31G(d, p)1LANL2DZ] level in channels 2 and 3 (dis-
tance in A). [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
Scheme 4. Possible SnCl2�2H2O-catalyzed channel (channel 4).
Figure 4. Structures and geometrical parameters of stationary points optimized at the B3LYP/[6–31G(d, p)1LANL2DZ] level in channel 4 (distance in A).
[Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
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International Journal of Quantum Chemistry 2014, 114, 862–868 865
Moreover, solvation effects were considered as implemented
with CCl4, THF, ethanol, DMSO, and water solvents. Table 1
shows the energy barriers of the two representative reaction
channels (including channels 1 and 3) in the gas phase and
different solvents. These two channels correspond with differ-
ent circumstances, including noncatalyzed and SnCl2-catalyzed
conditions. The computational results demonstrate that the
energy barriers in the different solvents have insignificant dif-
ferences with those in the gas phase. Considering that no
experimental data are available for the reaction at solvent con-
ditions and that the above results represent the two different
circumstances, further calculations on the solvent effects were
not performed.
GRI analysis
To explain the function of the Lewis acid catalyst, the GRI of
reactants R1 and R3–R5 were calculated. The chemical poten-
tial l is expressed as
l51
2ELUMO 1EHOMOð Þ (1)
and chemical hardness g is defined as
g5ELUMO 2EHOMO : (2)
In addition, the electrophilicity index x can be computed
using the following simple expression in terms of l and g:[58–62]
x5l2
2g5
1
4
ELUMO 1EHOMOð Þ2
ELUMO 2EHOMOð Þ : (3)
The results of frontier molecular orbital (FMO) energies,
chemical potential, chemical hardness, and electrophilicity
index for R1 and R3–R5 are given in Table 2, as well as the
natural charge located on thiocarbonyl carbons (NC1) and total
natural charge on the catalysts (NC2).
Table 2 shows that the electrophilicity indexes of R1 and
R3–R5 are inversely proportional to the energy barriers in
channels 1–4, that is, index x is directly proportional to the
reactivity of the ester-catalyst complex. Likewise, the natural
charge for thiocarbonyl carbon (NC1) fluctuates in the same
manner, which is in agreement with the fact that a lesser
charge on thiocarbonyl carbon makes it more reactive with
R2. In addition, the total natural charge on the catalyst (NC2)
in R3–R5 is negative and is inversely proportional to NC1,
which indicates that the catalyst withdraws electron from the
ester to reduce the electron density in the thiocarbonyl car-
bon. The Sn Lewis acid forms an adduct with the lone-pair-
bearing thiocarbonyl sulfur in the substrate as a portion of the
charge from b-oxodithioester transfers to the Lewis acid. The
charge-transfer process leads to a more electronegative thio-
carbonyl carbon, thereby activating the substrate toward
nucleophilic attack. In conclusion, the catalysts in channels 2–4
affect a traditional Lewis acid, and their classical function in
Scheme 5. The other possible SnCl2�2H2O-catalyzed channel (channel 5).
Figure 5. Energy profiles of channels 4 and 5 calculated at the B3LYP/[6-
31G(d, p)1LANL2DZ] level (unit: kcal/mol).
Figure 6. Structures and geometrical parameters of the stationary points
optimized at the B3LYP/[6-31G(d, p)1LANL2DZ] level in channel 5 (distance
in A). [Color figure can be viewed in the online issue, which is available at
wileyonlinelibrary.com.]
Table 1. Energy barriers of two representative reaction channels at
B3LYP/[6-31G(d,p)1LANL2DZ] level in different solvents (unit: kcal/mol).
DEGas-phase DECCl4 DETHF DEEtOH DEDMSO DEWater
R11R2fiTS1 43.25 43.40 43.12 42.76 42.63 42.60
R41R2fiTS3 35.95 36.52 36.72 36.42 36.37 36.34
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transesterification can be described as follows: the catalyst
withdraws electron from the ester to reduce the electron den-
sity on the thiocarbonyl carbon, which further increases the
electrophilicity of the carbon. As such, the nucleophilic attack
of the alcoholic OH group is facilitated.
Compared with R4, all indexes of R5 in Table 2 indicate a
result contrary to those obtained from catalyst optimization.
For example, the electrophilicity index of R5 is slightly lower
than that of R4, which implies that the water ligands of the
Sn catalyst have a slightly negative impact on the activation of
b-oxodithioester. This result also suggests that the nucleophilic
reactivity of R5 is lower than that of R4 and that SnCl2�2H2O
is a worse catalyst than SnCl2 in transesterification if no special
function of SnCl2�2H2O exists. In transition state TS5, we found
a novel function of Lewis Acid catalyst SnCl2�2H2O, in which
one of its water ligands can assist the proton transfer process
in this catalytic reaction. With this novel function of
SnCl2�2H2O, channel 5 becomes the most energy-favorable
channel even though the nucleophilic reactivity of R5 is lower
than that of R4.
Conclusions
In this work, the detailed mechanisms of the transesterification
of b-oxodithioesters were investigated using DFT. Five possible
reaction channels, including one noncatalyzed reaction chan-
nel and four Lewis acid-catalyzed channels, were suggested
and investigated. The calculated results indicate that channel 5
is the most energy-favorable among all the five channels. Fur-
ther calculations show that solvent effects have little influence
on the transesterification. Moreover, we studied the reactivities
of reactants R1 and R3–R5 by computing the electrophilicity
index and NBO charge distribution. These analyses reveal that
complexes R3–R5 are more reactive than reactant R1, which
indicates that the Lewis acid catalyst increases the electrophi-
licity of the reactants. Given the GRI and the structures of the
transition states in the five channels, the low strain of the six-
membered ring in TS5 should be the main reason for its pref-
erence. All calculated results are in good agreement with
experimental results.
Keywords: density functional theory � global reactivity index-
es � natural bond orbital charge � transesterification � Lewis
acid
How to cite this article: X. Guo, L. Chen, Y. Zhu, A. Zhang, D.
Wei, M. Tang, X. Guo, L. Chen, Y. Zhu, A. Zhang, D. Wei, M.
Tang. Int. J. Quantum Chem. 2014, 114, 862–868. DOI: 10.1002/
qua.24669
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Table 2. FMO energies, chemical potential, chemical hardness, and elec-
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ELUMO EHOMO l g x NC1 NC2
R1 21.838 25.985 23.912 4.146 1.845 20.337 –
R3 22.376 26.335 24.356 3.958 2.396 20.310 20.135
R4 22.931 26.726 24.829 3.794 3.073 20.273 20.177
R5 22.679 26.578 24.629 3.899 2.747 20.313 20.070
Natural charge for NC1 in R1 and R3–R5 and the NC2 in R3–R5 (in ele-
mentary charge).
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Received: 24 October 2013Revised: 17 February 2014Accepted: 26 February 2014Published online 17 March 2014
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