DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on February 11, 2026 has been entered.
Claim Objections
Claim 9 is objected to because of the following informalities: the claim should recite “wherein said plurality of graphene sheets contain single-layer or few-layer graphene…” in order to have consistent antecedent basis throughout the set of claims.
Claim 14 is objected to because of the following informalities: the claim should recite “wherein the at least one of said porous graphene composite balls comprises said plurality of graphene sheets that are encapsulated by a thin layer of said ion-conducting material having a thickness from 1 nm to 5 µm” in order to have consistent antecedent basis throughout the set of claims.
Claim 21 is objected to because of the following informalities: the claim should recite “wherein said cathode comprises a lithium-containing cathode active material that releases lithium ions into said electrolyte when the lithium-ion battery is charged and the released lithium ions move to the anode” in order to have consistent antecedent basis throughout the set of claims.
Appropriate correction is required.
Claim Rejections - 35 USC § 103
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Zhamu et al. (US PGPub 2012/0064409 A1) and further in view of Yushin et al. (US PGPub 2013/0344391 A1), Kim et al. (US PGPub 2014/0087255 A1), and Zhamu et al. (US PGPub 2017/0352869 A1), hereinafter referred to as Zhamu ‘869.
Regarding Claim 17, Zhamu discloses in Fig. 3 an anode for a lithium battery ([0039]), said anode comprising multiple porous graphene composite balls (particulates) (Fig. 3, [0039], [0144], see formation of interconnected pores in the particulate), wherein at least one of said porous graphene composite balls comprises a plurality of graphene sheets ([0039]).
Zhamu further discloses wherein at least one of said porous graphene composite balls comprises a plurality of anode active material particles ([0039]) and may further comprise an ion-conducting material ([0050], carbon or graphite material).
It would have been obvious to one of ordinary skill in the art to utilize an ion-conducting material in said porous graphene composite ball, as disclosed by Zhamu, wherein the skilled artisan would have reasonable expectation that such would successfully form the anode desired by Zhamu.
Modified Zhamu further discloses wherein the at least one of said porous graphene composite balls comprises the plurality of graphene sheets in an amount of at least 0.01% by weight and the plurality of anode active material particles in an amount of at least 0.1% by weight ([0039] of Zhamu) in order to form an anode having high conductivity, high electrode tap density, long-term cycling stability, and significantly improved reversible capacity and first-cycle efficiency ([0039], [0017]) and consequently modified Zhamu discloses wherein a graphene-to-ion-conducting-material weight ratio of overlaps with the instantly claimed ratio of 2/98 to 98/2.
It would have been obvious to one of ordinary skill in the art to utilize the overlapping portion of the range disclosed by modified Zhamu for the graphene-to-ion-conducting material weight ratio in the at least one of said porous graphene composite balls, wherein the skilled artisan would have reasonable expectation that such would successfully form an anode having high conductivity, high electrode tap density, long-term cycling stability, and significantly improved reversible capacity and first-cycle efficiency while successfully forming an SEI layer, thereby achieving enhanced cycling ability and improved rate performance, as desired by modified Zhamu.
Modified Zhamu discloses wherein the plurality of graphene sheets and the ion-conducting material are combined to form into said graphene composite ball ([0039]) and further discloses wherein said anode active material particles in the at least one of said porous graphene composite balls have a diameter preferably smaller than 100 nm ([0048]).
However, modified Zhamu remains silent regarding the diameter of the at least one of said graphene composite balls and consequently does not disclose said graphene composite ball having a diameter from 50 nm to 20 µm.
Yushin teaches an anode for a metal-ion battery comprising porous composite ball (core-shell composite) ([0029]).
Specifically, Yushin teaches wherein the porous composite ball can be designed to have a diameter from 50 nm to 50 µm ([0080]), which encompasses the range of smaller than 100 nm desired by modified Zhamu and further encompasses the instantly claimed range of 50 nm to 20 µm.
It would have been obvious to one of ordinary skill in the art to utilize the encompassing portion of the range taught by Yushin for the diameter of the at least one of said porous graphene composite balls of modified Zhamu, as such is a known suitable range in the art that utilizes the desired diameter of the anode active material particles of modified Zhamu and therefore the skilled artisan would have reasonable expectation that such would successfully form the porous graphene composite ball desired by modified Zhamu.
Modified Zhamu discloses said porous graphene composite balls (Fig. 3, [0039], [0144] of Zhamu, see formation of interconnected pores in the particulate) and therefore necessarily and inherently discloses said porous graphene composite balls necessarily and inherently comprise a pore or multiple pores having a pore volume fraction greater than 0% and less than 100% based on the total porous graphene composite ball volume, which encompasses the instantly claimed value of 10%.
It would have been obvious to one of ordinary skill in the art to utilize the encompassing portion of the range disclosed by modified Zhamu for the pore volume fraction based on the total porous graphene composite ball volume, wherein the skilled artisan would have reasonable expectation that such would successfully form the porous graphene composite ball desired by modified Zhamu.
Furthermore, Kim teaches in Fig. 1 an anode for a lithium battery comprising porous composite ball ([0003], [0031]), wherein said porous composite balls comprise a conducting agent (13), such as graphene, and anode active material particles (12) ([0031], [0038]-[0043]).
Specifically, Kim teaches wherein a pore volume fraction (porosity) of said porous composite ball may be appropriately controlled in a range of about 1% to about 80% in order to improve the discharge capacity, high-rate characteristics, and lifetime characteristics of the lithium battery ([0034]), which encompasses the instantly claimed value of 10%.
It would have been obvious to one of ordinary skill in the art to form the at least one of said porous graphene composite balls of modified Zhamu to have a pore volume fraction in the encompassing portion of the range taught by Kim, in order to improve the discharge capacity, high-rate characteristics, and lifetime characteristics of the lithium battery of modified Zhamu, wherein the porous graphene composite ball of modified Zhamu is porous and therefore the skilled artisan would have reasonable expectation that such would successfully form said porous graphene composite balls desired by modified Zhamu.
Modified Zhamu further discloses a current collector having two primary surfaces, wherein said multiple porous graphene composite balls may be deposited on one or two primary surfaces of the current collector ([0100] of Zhamu, wherein the current collector is a foil and therefore necessarily and inherently has two primary surfaces).
Modified Zhamu remains silent regarding the density and the specific surface area of the at least one of said porous graphene composite balls and consequently does not disclose wherein said porous graphene composite ball has a density from 0.005 to 1.7 g/cm3 and a specific surface area from 50 to 2,630 m2/g.
Zhamu ‘869 teaches an anode for a lithium battery, said anode comprising a plurality of graphene sheets and a plurality of anode active material particles (lithium-attracting metal) ([0040]).
Specifically, Zhamu ‘869 teaches wherein the anode, when measured without the presence of the anode active material particles (lithium-attracting metal) has a density preferably from 0.1 to 1.7 g/cm3 and a specific surface area from 50 to 2,500 m2/g in order to dramatically reduce the effective elected current density, which in turn significantly reduces or eliminates the possibility of Li dendrite formation ([0044], [0103]), which overlaps with the instantly claimed ranges of 0.005 to 1.7 g/cm3 and 50 to 2,630 m2/g respectively.
Zhamu ‘869 further teaches wherein the presence of the anode active material particles (lithium-attracting metal) provides a safe and reliable side to receive and accommodate lithium during a battery charging step ([0103]).
The Examiner notes that the instant specification discloses where the porous graphene composite balls have a density from 0.005 to 1.7 g/cm3, and when measured without other ingredients, have a density from 0.1 to 1.7 1.7 g/cm3 (P9, L20-23).
It would have been obvious to one of ordinary skill in the art to form the form the porous graphene composite balls of modified Zhamu to have a density and a specific surface area in the ranges taught by Zhamu ‘869, in order to dramatically reduce the effective elected current density, which in turn significantly reduces or eliminates the possibility of Li dendrite formation, wherein the skilled artisan would have reasonable expectation that such would successfully achieve the above advantage while providing a safe and reliable side to receive and accommodate lithium during a battery charging step in a lithium battery.
Response to Arguments
Applicant’s arguments filed November 12, 2025 with respect to amended Claim 1 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Applicant's arguments filed November 12, 2025 with respect to Claim 17 have been fully considered but they are not persuasive.
The Applicant argues that [0039] of Zhamu does not teach the key feature "graphene-to-ion-conducting material weight ratio of 2/98 to 98/2". As a result, it would not have been obvious to a person of ordinary skill in the art to make or use these references to arrive at our invention.
The Examiner respectfully disagrees. As set forth in the prior rejection, modified Zhamu discloses wherein the at least one of said porous graphene composite balls comprises a plurality of graphene sheets, an plurality of anode active material particles, and an ion-conducting material ([0039], [0050] of Zhamu) and further discloses wherein the plurality of graphene sheets are included in an amount of at least 0.01% by weight and the plurality of anode active material particles are included in an amount of at least 0.1% by weight ([0039] of Zhamu).
In light of the above, modified Zhamu discloses wherein the at least one of said porous graphene composite balls have a graphene-to-ion-conducting material weight ratio necessarily and inherently in an amount of greater than 0% and less than 100%, which overlaps with the instantly claimed range of 2/98 to 98/2.
In other words, the at least one of said porous graphene composite balls comprises the plurality of graphene sheets in an amount of at least 0.01% by weight to less than 99% by weight ([0039] of Zhamu), the plurality of anode active material particles in an amount of at least 0.1% by weight and less than 100% by weight ([0039] of Zhamu), and consequently the amount of the ion-conducting material makes up the remaining wt%.
For example, the plurality of graphene sheets may be included in 60% by weight, the plurality of anode active material particles may be included in 10% by weight, and consequently the ion-conducting material is included in 30% by weight. Therefore, the graphene-to-ion-conducting material weight ratio is 60:30, which falls within the instantly claimed range of 2/98 to 98/2.
Thus, the Applicant's arguments are not found to be persuasive.
Allowable Subject Matter
Claims 1, 7-8, 10, 15-16, and 18-20 are allowed.
The following is an Examiner’s statement of reasons for allowance: The invention of Claim 1 is directed to an anode for a lithium battery or sodium battery, said anode comprising multiple porous graphene composite balls, wherein at least one of said porous graphene composite balls comprises a plurality of graphene sheets and an ion-conducting material, at a graphene-to-ion-conducting material weight ratio from 2/98 to 98/2, that are combined to form into said porous graphene composite ball having a diameter from 50 nm to 20 µm and a pore or multiple pores having a pore volume fraction from 10% to 99.9% based on the total porous graphene composite ball volume, wherein the anode further comprises a current collector having two primary surfaces wherein the multiple porous graphene composite balls may be deposited on one or two primary surfaces of the current collector, wherein said ion-conducting material comprises a lithium ion-conducting polymer selected from sulfonated polydially dimethyl-ammonium chloride (PDDA), sulfonated polyethylene glycol tert-octylphenylether (PEGPE), sulfonated polyallyl amine (PAAm), or combination thereof.
The closest prior art is considered to be Zhamu et al. (US PGPub 2012/0064409 A1) and further in view of Li et al. (A Mechanically Robust and Highly lon-Conductive Polymer-Blend Coating for High-Power and Long-Life Lithium-lon Battery Anodes, see NPL provided with the Office Action dated January 17, 2025), Lee et al. (US PGPub 2020/0373639 A1), and Yushin et al. (US PGPub 2013/0344391 A1).
Regarding Claim 1, modified Zhamu discloses substantially all of the limitations as set forth in the prior Office Action dated August 11, 2025.
Specifically, modified Zhamu discloses wherein the lithium ion-conducting polymer is polydially dimethyl-ammonium chloride (PDDA) ([0003], [0009], [0013] of Li).
However, modified Zhamu does not disclose wherein the lithium ion-conducting polymer selected from sulfonated polydially dimethyl-ammonium chloride (PDDA), sulfonated polyethylene glycol tert-octylphenylether (PEGPE), sulfonated polyallyl amine (PAAm), or combination thereof.
It would not have been obvious to one of ordinary skill in the art to utilize sulfonated polydially dimethyl-ammonium chloride (PDDA), sulfonated polyethylene glycol tert-octylphenylether (PEGPE), sulfonated polyallyl amine (PAAm), or combination thereof as the lithium ion-conducting polymer of modified Zhamu, as called for in the claimed invention, as such was neither disclosed nor suggested by the prior art and therefore the skilled artisan would not have been motivated to do so nor would have reasonable expectation that such would successfully function as a lithium ion-conducting polymer, as desired by modified Zhamu.
Claims 7-8, 10, 15-16, and 18-20 are dependent on Claim 1 and therefore are allowable for the reasons set forth above.
In light of the above, the closest prior art fails to disclose, teach, suggest, or render obvious the claim limitation “wherein said ion-conducting material comprises a lithium ion-conducting polymer selected from sulfonated polydially dimethyl-ammonium chloride (PDDA), sulfonated polyethylene glycol tert-octylphenylether (PEGPE), sulfonated polyallyl amine (PAAm), or combination thereof” in combination with all of the other limitations taken as a whole.
Claims 9, 14 and 21 are dependent on Claim 1 and therefore would be allowable for the reasons set forth above if the claim objections are successfully overcome.
The Examiner notes that non-elected Claims 2-4, 6, 11-13, and 22-45 are dependent on allowable Claim 1. Therefore, upon allowance of the elected invention (e.g. Claims 1 and 17), the withdrawn claims may be rejoined.
The Examiner suggests the following amendments to the withdrawn claims in order to overcome any claim objections, rejections under U.S.C. 112(b)/(d) and to improve clarity of the claims.
The Examiner further requests that the Applicant review the withdrawn claims in order to ensure they are in condition for allowance upon rejoining.
3. (Withdrawn) The anode of claim 1, wherein said ion-conducting material comprises a lithium
ion-conducting material selected from Li2CO3, Li20, Li2C204, LiOH, LiX, ROCO2Li, HCOLi,
ROLi, (ROCO2Li)2, (CH2OCO2Li)2, Li2S, LixSOy, or a combination thereof, wherein X = F, Cl,
I, or Br, R = a hydrocarbon group, 0 < x ≤ 1, 1 ≤ y ≤ 4.
11. (Withdrawn) The anode of claim 2, wherein said graphene/carbon ball comprises 0.01% to 40% by weight of carbon that holds said plurality of graphene sheets together as a porous composite graphene/carbon ball.
12. (Withdrawn) The anode of claim 2, wherein said graphene/carbon ball comprises a layer of
carbon that encapsulates said graphene/composite ball and forms an exterior surface of said graphene/composite ball.
22. (Withdrawn) A sodium-ion battery comprising the anode of claim 1, a cathode, an electrolyte in ionic contact with said anode and said cathode, wherein said cathode comprises a sodium-containing cathode active material that releases sodium ions into said electrolyte when the sodium-ion battery is charged and the released sodium ions move to the anode.
23. (Withdrawn) A process for producing the anode of claim 1, the process comprising: Step (a)
providing and dispersing the multiple porous graphene composite balls and an optional binder or adhesive in a liquid medium to form a slurry; and Step (b) dispensing and depositing the slurry onto one or two primary surfaces of the current collector and removing the liquid medium to form the anode.
24. (Withdrawn) The process of claim 23, wherein Step (a) the ion-conducting material onto exterior surfaces of multiple porous graphene balls to obtain the multiple porous graphene composite balls.
25. (Withdrawn) The process of claim 24, wherein the procedure of depositing the coating comprises a procedure selected from melt dipping, solution deposition, chemical vapor deposition, physical vapor deposition, sputtering, electrochemical deposition, spray coating, spray-drying, vibration nozzle coating, pan coating, air-suspension coating, plasma coating, or a combination thereof.
26. (Withdrawn) The process of claim 23, wherein the multiple porous graphene composite balls in Step (a) are produced from a procedure selected from ball milling, spray drying, pan-coating, air-suspension coating, centrifugal extrusion, vibration nozzle coating, or in-situ polymerization.
27. (Withdrawn) The process of claim 23, wherein Step (a) comprises procedures of step (i) producing multiple composite particles each comprising a precursor polymer and an optional carbon or graphite filler dispersed in the precursor polymer, wherein the filler is selected from graphene sheets, expanded graphite flakes, carbon nanotubes, carbon nano-fibers, carbon fibers, carbon particles, graphite particles, carbon black, acetylene black, pitch, or a combination thereof; step (ii) heat-treating the multiple composite particles at least at a temperature selected from 300°C to 3,200°C to obtain a porous carbon core for each composite particle; and step (iii) encapsulating each composite particle with the plurality of graphene sheets before or after step (ii) or with the ion-conducting material after step (ii).
28. (Withdrawn) The process of claim 23, wherein Step (a) comprises procedures of step (i) encapsulating multiple particles of a sacrificial material with multiple graphene sheets to produce graphene-embraced sacrificial particles; step (ii) partially or completely removing the sacrificial material from the graphene-embraced sacrificial particles to form porous graphene balls, wherein at least one of said porous graphene balls comprises a graphene shell encapsulating a porous core, wherein said graphene shell comprises the multiple graphene sheets and the porous core comprises one or a plurality of pores; and step (iii) coating, encapsulating, or impregnating the porous graphene balls with the ion-conducting material to obtain the multiple porous graphene composite balls, wherein at least one of said porous graphene composite balls comprises an ion-conducting shell.
29. (Withdrawn) The process of claim 23, wherein Step (a) comprises procedures of step (i) mixing the plurality of to produce multiple composite particles comprising the plurality of graphene sheets and the carbon or graphite additive dispersed in a matrix of the sacrificial material; step (ii) partially or completely removing the sacrificial material from the multiple composite particles to form porous graphene balls; and step (iii) coating, encapsulating, or impregnating the porous graphene balls with the ion-conducting material, wherein at least one of said s comprises an ion-conducting shell encapsulating a porous core, wherein the porous core comprises the plurality of
30. (Withdrawn) The process of claim 28, wherein the multiple particles of the sacrificial material comprise
32. (Withdrawn) The process of claim 28, wherein step (ii) of removing said sacrificial material is
conducted by a procedure of (a) dissolving the sacrificial material using a solvent or water, (b)
melting the sacrificial material and allowing the sacrificial material melt to flow out of the
ion-conducting shell, or (c) burning off the sacrificial material.
33. (Withdrawn) The process of claim 29, wherein step (ii) of removing said sacrificial material is
conducted by a procedure of (a) dissolving the sacrificial material using a solvent or water, (b)
melting the sacrificial material and allowing the sacrificial material melt to flow out of the
ion-conducting shell, or (c) burning off the sacrificial material.
34. (Withdrawn) The process of claim 28, wherein the sacrificial material is selected from a water-soluble polymer, an organic solvent-soluble polymer, a low-melting metal having a melting point lower than 500°C, a water-soluble material, a low-melting organic material having a melting point lower than 200°C, an inorganic material that can be dissolved in a solvent, a
composite material, or a combination thereof.
35. (Withdrawn) The process of claim 29, wherein the sacrificial material is selected from a water-soluble polymer, an organic solvent-soluble polymer, a low-melting metal having a melting point lower than 500°C, a water-soluble material, a low-melting organic material having a melting point lower than 200°C, an inorganic material that can be dissolved in a solvent, a
composite material, or a combination thereof.
37. (Withdrawn) The process of claim 23, wherein Step (a) comprises (i) preparing a graphene
dispersion having multiple sheets of a starting graphene material dispersed in a second liquid medium, wherein said starting graphene material is selected from a pristine graphene, graphene oxide, reduced graphene oxide, graphene fluoride, graphene chloride, graphene bromide, graphene iodide, hydrogenated graphene, nitrogenated graphene, chemically functionalized graphene, or a combination thereof and wherein said graphene dispersion contains a blowing agent having a blowing agent-to-starting graphene material weight ratio from 0/1.0 to 1.0/1.0; (ii) dispensing, forming and drying said graphene dispersion into multiple droplets containing therein graphene sheets and said blowing agent; and (iii) heat treating the multiple droplets at a heat treatment temperature selected from 80°C to 3,200°C at a desired heating rate sufficient to induce volatile gas molecules from non-carbon elements in said starting graphene material or to activate said blowing agent for producing
38. (Withdrawn) The process of claim 37, wherein the process further comprises encapsulating the multiple porous graphene balls with the ion-conducting material to obtain the multiple porous graphene composite balls.
39. (Withdrawn) The process of claim 37, wherein said graphene dispersion further comprises a polymer dissolved or dispersed in said second liquid medium and the polymer-to-graphene weight ratio is from 1/100 to 100/1.
41. (Withdrawn) The process of claim 40, further comprising a step of heat-treating said polymer- or polymer composite-encapsulated porous graphene balls to obtain carbon- or carbon composite-encapsulated porous graphene balls.
42. (Withdrawn) The process of claim 37, wherein said step (ii) of dispensing, forming and drying includes operating a procedure selected from pan-coating, air-suspension coating, centrifugal extrusion, vibration-nozzle encapsulation, spray-drying, coacervation-phase separation, interfacial polycondensation and interfacial cross-linking, in-situ polymerization, matrix polymerization, or a combination thereof.
43. (Withdrawn) The process of claim 23, wherein the process further comprises a step of
impregnating lithium metal or sodium metal into the anode to form a lithium-preloaded or a
sodium-preloaded anode.
45. (Withdrawn) The process of claim 23, wherein the multiple porous graphene composite balls are produced by procedures comprising (A) mixing multiple particles of a graphitic material, multiple polymer carrier particles, and an optional ball-milling media to form a mixture in an impacting chamber of an energy impacting apparatus; (B) operating the energy impacting apparatus with a frequency and an intensity for a length of time sufficient for peeling off graphene sheets from the multiple particles of the graphitic material and transferring the graphene sheets to surfaces of the polymer carrier particles to produce graphene-embraced polymer particles inside the impacting chamber; (C) recovering the graphene-embraced polymer particles from the impacting chamber; and (D) pyrolyzing the graphene-embraced polymer particles to thermally convert the polymer carrier particles into pores and carbon or graphite that bonds the graphene sheets to form the porous graphene composite balls, wherein at least one of said s comprises a graphene/carbon shell encapsulating a porous core and the porous core comprises one or a plurality of pores.
Conclusion
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/KIMBERLY WYLUDA/Examiner, Art Unit 1725