Prosecution Insights
Last updated: July 17, 2026
Application No. 17/369,655

LENS ASSEMBLY

Non-Final OA §103
Filed
Jul 07, 2021
Priority
Apr 06, 2021 — RE 10-2021-0044706
Examiner
MEBRAHTU, EPHREM ZERU
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Samsung Electro-Mechanics Co., Ltd.
OA Round
6 (Non-Final)
75%
Grant Probability
Favorable
6-7
OA Rounds
0m
Est. Remaining
83%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allowance Rate
370 granted / 496 resolved
+6.6% vs TC avg
Moderate +9% lift
Without
With
+8.8%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
33 currently pending
Career history
518
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
82.1%
+42.1% vs TC avg
§102
9.4%
-30.6% vs TC avg
§112
7.3%
-32.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 496 resolved cases

Office Action

§103
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 . Response to Arguments Applicant’s arguments with respect to claim(s) 1, 15 and 17 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. Claim Rejections - 35 USC § 103 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. Claim(s) 1, 2, 15 and 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sasaki et al. US 2011/0122511 (Fig. 9) in view of Kurihara US Patent No. 5,024,509. Regarding claim 1, Sasaki teaches a lens assembly (see at least Figs.8-9), comprising: a first lens (para 0087-0088: 1st lens 114) including a protrusion (para 0088 and Fig. 9: first protrusion 1141); and a second lens (para 0087-0088: 2nd lens 122) disposed adjacent to the first lens (114) and including a recess (para 0089 and Fig. 9: first depression 1221) configured to accommodate at least a portion of the protrusion (para 0089: “the first protrusion 1141 entering into the first depression 1221 of the second lens 122”), wherein the protrusion is spaced apart from the recess both in an optical axis direction and a direction perpendicular to the optical axis so as not to come into contact with each other (as shown in Figure below protrusion 1141 and depression or recess 1221 are spaced apart and are not in contact with each other), and wherein a bottom surface of the recess extends to an outer peripheral surface of the second lens (see annotated figure below). [AltContent: textbox (Peripheral surface of the second lens)] [AltContent: arrow][AltContent: textbox (Recess 1221 extends toward to the outer peripheral surface of second lens 122)][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: textbox (Protrusion is spaced apart from the recess both in an optical axis direction and a direction perpendicular to the optical axis so as not to come into contact with each other.)] PNG media_image1.png 506 662 media_image1.png Greyscale PNG media_image2.png 865 805 media_image2.png Greyscale Sasaki fails to teach: wherein the recess is open in at least one of the direction perpendicular to the optical axis. Kurihara teaches lens assembly (see at least Fig. 26), comprising a first lens (lens 2) including a protrusion (5) and a second lens (lens 1) including a recess (7) configured to accommodate at least portion of the protrusion (see col. 6 lines 17-19: teaches the protrusions 5 received in grooves 7), and wherein the recess is open in at least one of the direction perpendicular to the optical axis (see annotated figure below). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the recess of Sasaki to be open in the direction perpendicular to the optical axis as taught by Kurihara, since doing so would merely employ a known recess shape in a similar lens assembly for the same general purpose of receiving the protrusion, thereby predictably resulting in a recess that is open in a direction perpendicular to the optical axis. [AltContent: textbox (Optical axis)][AltContent: arrow][AltContent: textbox (Recesses/grooves 7 are open in a direction perpendicular to the optical axis)][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: connector] PNG media_image3.png 414 400 media_image3.png Greyscale Regarding claim 2, Sasaki teaches the lens assembly of claim 1, further comprising a lens barrel (Fig. 8: depicts lens barrel 20) configured to align the first lens (114) in a direction perpendicular to an optical axis with respect to the second lens (1221), and wherein the protrusion and the recess are configured to limit rotation of the first lens about the optical axis with respect to the second lens (From Figs. 8-9, it is apparent that once groove 1221 and protrusions 1141 are engaged, rotation of the first lens 114 over second lens 122 will be limited). Regarding claim 15, Sasaki teaches a lens assembly (see at least Figs. 8-9) comprising: a first lens (114); a second lens (122) adjacent to the first lens (114); and an alignment structure aligning (para 0089 and Fig. 9: protrusion 1141 and depression/recess 1221) the first lens (114) and the second lens (122) in a circumferential direction with respect to an optical axis, wherein the alignment structure is configured to allow the first lens to move with respect to the second lens in a direction perpendicular to an optical axis (as shown in Fig. 9 it is apparent the lenses 114 and 122 can move in perpendicular direction to the optical axis), and wherein the alignment structure comprises a protrusion and a recess spaced apart from each other so as not to come into contact with each other (as shown in Figure below protrusion 1141 and depression or recess 1221 are spaced apart and are not in contact with each other), and a bottom surface of the recess extends to an outer peripheral surface of the second lens (see annotated figure below). PNG media_image4.png 459 699 media_image4.png Greyscale PNG media_image2.png 865 805 media_image2.png Greyscale Sasaki fails to teach: wherein the recess is open in at least one of the direction perpendicular to the optical axis. Kurihara teaches lens assembly (see at least Fig. 26), comprising a first lens (lens 2) including a protrusion (5) and a second lens (lens 1) including a recess (7) configured to accommodate at least portion of the protrusion (see col. 6 lines 17-19: teaches the protrusions 5 received in grooves 7), and wherein the recess is open in at least one of the direction perpendicular to the optical axis (see annotated figure below). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the recess of Sasaki to be open in the direction perpendicular to the optical axis as taught by Kurihara, since doing so would merely employ a known recess shape in a similar lens assembly for the same general purpose of receiving the protrusion, thereby predictably resulting in a recess that is open in a direction perpendicular to the optical axis. [AltContent: textbox (Optical axis)][AltContent: arrow][AltContent: textbox (Recesses/grooves 7 are open in a direction perpendicular to the optical axis)][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: connector] PNG media_image3.png 414 400 media_image3.png Greyscale Regarding claim 16, Sasaki teaches the lens assembly of claim 15, wherein the protrusion (1141) is disposed on the first lens (114) and the recess (1221) is disposed in the second lens (122), and wherein an air gap is disposed between the protrusion and the recess (as shown in figure 9 or figure above: there is air gap between protrusion 1141 and recess 1221). Claim Rejections - 35 USC § 103 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. Claim(s) 4, 5 and 7-9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sasaki and Kurihara as applied to claim 1 above, and further in view of Chen US 2010/0039716. Regarding claim 4, the combination of Sasaki teaches the lens assembly of claim 1, except for further comprising a spacer disposed between the first lens and the second lens. In the same field of endeavor, Chen teaches, a lens assembly (see Fig. 3: lens module 8), comprising: a first lens (para 0022 and Fig. 3: first lens 5) including a protrusion (Fig. 3 and para 0024: protrusion 53 i.e., 531, 532, 533); and a second lens (para 0022 and Fig. 3: second lens 4) disposed adjacent to the first lens (lens 5) and including a recess (Fig. 3 and para 0023: recess 43 i.e., 431, 432, 433), a spacer disposed between the first lens and the second lens (fig. 3: spacer 82 disposed between lens 5 and 4). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the lens assembly of Sasaki by utilizing the claimed spacer as taught by Chen716 in order to provide a light shielding for unwanted light reaching to the image sensor so that a better image quality achieved. Regarding claim 5, the combination of Sasaki teaches the lens assembly of claim 4, and Sasaki further teaches wherein the protrusion and the recess are disposed in respective portions facing the spacer in the optical axis direction (para 0089: “the first protrusion 1141 entering into the first depression 1221 of the second lens 122 is disposed away from the first depression 1221 of the second lens 122, and the shielding member 311 is interposed between the flange section 1140 of the first lens 114 and the flange section 1220 of the second lens 122”). Regarding claim 7, the combination of Sasaki teaches the lens assembly of claim 4, and Chen further teaches wherein the first lens (lens 5) includes a first optical portion (optical effective region 511) exhibiting optical performance, and a first flange surface (portion of the lens which is engaged with the cylinder 81) surrounding an outer circumference of the first optical portion (511) and contacting the spacer (82), and wherein the protrusion extends from the first flange surface toward the second lens (see Fig. 3: protrusion 53 is formed on the flange portion or outer portion which is not optically active part of lens 5). Regarding claim 8, the combination of Sasaki teaches the lens assembly of claim 7, and Chen further teaches wherein the second lens (Fig. 4: lens 4) includes a second optical portion (411) exhibiting optical performance and a second flange surface (413, 43 and 412) surrounding an outer circumference of the second optical portion (middle portion 411 of lens 4) and contacting the spacer (82), and wherein the recess includes a depressed portion of the second flange surface (see Fig. 3: protrusion 43 is formed on the flange portion or outer portion which is not optically active part of lens 4). Regarding claim 9, the combination of Sasaki teaches the lens assembly of claim 8, and Chen further teaches wherein a depth by which the recess is depressed from the second flange surface is greater than a length obtained by subtracting a thickness of the spacer from a height at which the protrusion protrudes from the first flange surface (see Fig. 3). Claim(s) 6 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sasaki, Kurihara and Chen as applied to claim 5 above, and further in view of Tanaka et al. US 2021/0318512. Regarding claim 6, the combination of Sasaki teaches the lens assembly of claim 5, except for wherein the spacer includes a through portion configured to allow the protrusion to pass therethrough. In the same field of endeavor, Tanaka teaches a lens assembly (see at least Figs. 1-4), wherein the spacer includes a through portion configured to allow the protrusion to pass therethrough (as shown in Fig. 4 the spacer 214 has a through portion 214a configured to allow the protrusion of lens 220 to pass). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the lens assembly of Sasaki by utilizing the claimed spacer that includes a through portion in order the spacer to uniformly provided between the two adjacent lens thereby enhance the alignment of the lens assembly. Claim(s) 10-14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sasaki, Kurihara as applied to claim 1 above, and further in view of Kuroda JP 2011145522 (Citation is based on the English machine translation attached herewith which it is in a file wrapper and previously used). Regarding claim 10, the combination of Sasaki teaches the lens assembly of claim 1, but fails to teach wherein the first lens is non-axisymmetric with respect to an optical axis. In the same field of endeavor, Kuroda teaches a lens assembly (at least in Fig. 2: 24, including plurality of lenses 30), wherein the first lens is non-axisymmetric with respect to an optical axis (para 0015: teaches free-form lens 33 i.e., which infers lens 33 is non-rotationally symmetry or rotationally asymmetric lens surface). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the lens assembly of Sasaki by utilizing the claimed non-axisymmetric lens as taught by Kuroda because freeform lenses allow for a wider and clearer field of visions. Regarding claim 11, the combination of Sasaki teaches the lens assembly of claim 10, and Kuroda further teaches wherein the first lens is a D-cut lens (see para 0015). Regarding claim 12, the combination of Sasaki teaches the lens assembly of claim 11, and Kuroda teaches further comprising: a lens barrel accommodating the first lens and the second lens, wherein the first lens includes a linear portion and an arc portion, and the lens barrel is configured to surround at least a portion of the arc portion and to expose the linear portion in a direction perpendicular to the optical axis (see Fig. 3 of lens having a linear portion 44 and a curve portion). Regarding claim 13, the combination of Sasaki teaches the lens assembly of claim 12, and Kuroda further teaches wherein the lens barrel includes an open portion exposing the linear portion, the linear portion extends in a first direction perpendicular to the optical axis, and the open portion exposes the linear portion in a second direction perpendicular to both the optical axis and the first direction (see Fig. 2: barrel 50 having an open 51 exposing the linear portion of lens 33, see also Fig. 4). Regarding claim 14, the combination of Sasaki teaches the lens assembly of claim 10, and Kuroda further teaches wherein the first lens is a free-form lens (see para 0015). Claim(s) 17 and 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sasaki et al. US 2011/0122511 (Fig. 9) in view of Tanaka et al. US 2021/0318512 and Kurihara US Patent No. 5,024,509. Regarding claim 17, Sasaki teaches a lens assembly (see at least Figs. 8-9), comprising: a first lens (para 0087-0088: 1st lens 114) disposed on an optical axis; one or more protrusions (para 0088 and Fig. 9: first protrusion 1141) protruding from a surface of the first lens (114), in a direction parallel to the optical axis; a second lens (para 0087-0088: 2nd lens 122) disposed on the optical axis; one or more recesses (para 0089 and Fig. 9: first depression 1221) disposed on a surface of the second lens (122) opposing the surface of the first lens (114) in the direction parallel to the optical axis; and wherein the one or more protrusions extend only partially into the one or more recesses (as shown in Fig. 9: protrusion 1141 extended partially into recess 1221), respectively, in the direction parallel to the optical axis so as not to come into contact with the one or more recesses (as shown in Figure below protrusion 1141 and depression or recess 1221 are spaced apart and are not in contact with each other), wherein a bottom surface of the recess extends to an outer peripheral surface of the second lens (see annotated figure below). PNG media_image4.png 459 699 media_image4.png Greyscale PNG media_image2.png 865 805 media_image2.png Greyscale Sasaki fails to teach: a spacer disposed between the first lens and the second lens in the direction parallel to the optical axis, wherein the spacer includes one or more openings elongated in a direction perpendicular to the optical axis and configured to receive the one or more protrusions, respectively, and wherein each of the one or more protrusions is configured to be spaced apart from a wall defining a respective opening, among the one or more openings, in either one or both of a radial direction with respect to the optical axis and a circumferential direction with respect to the optical axis, and wherein the one or more recesses are open in at least one of the directions perpendicular to the optical axis. In the same field of endeavor, Tanaka teaches a spacer disposed between the first lens and the second lens in the direction parallel to the optical axis (as shown in Fig. 4 the spacer 214), wherein the spacer includes one or more openings elongated in a direction perpendicular to the optical axis and configured to receive the one or more protrusions, respectively (as shown in Fig. 4 the spacer 214 has a through portion 214a configured to allow the protrusion of lens 220 to pass), wherein each of the one or more protrusions is configured to be spaced apart from a wall defining a respective opening, among the one or more openings, in either one or both of a radial direction with respect to the optical axis and a circumferential direction with respect to the optical axis (para 0066 and Fig. 3 of Tanaka). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the lens assembly of Sasaki by utilizing the claimed spacer that includes a through portion in order the spacer to uniformly provided between the two adjacent lens thereby enhance the alignment of the lens assembly. The combination of Sasaki and Tanaka fails to teach: wherein the one or more protrusion is exposed in at least one of the directions perpendicular to the optical axis. Sasaki fails to teach: wherein the one or more recesses are open in at least one of the directions perpendicular to the optical axis. Kurihara teaches lens assembly (see at least Fig. 26), comprising a first lens (lens 2) including a protrusion (5) and a second lens (lens 1) including a recess (7) configured to accommodate at least portion of the protrusion (see col. 6 lines 17-19: teaches the protrusions 5 received in grooves 7), and wherein the recess is open in at least one of the direction perpendicular to the optical axis (see annotated figure below). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date to modify the recess of Sasaki to be open in the direction perpendicular to the optical axis as taught by Kurihara, since doing so would merely employ a known recess shape in a similar lens assembly for the same general purpose of receiving the protrusion, thereby predictably resulting in a recess that is open in a direction perpendicular to the optical axis. [AltContent: textbox (Optical axis)][AltContent: arrow][AltContent: textbox (Recesses/grooves 7 are open in a direction perpendicular to the optical axis)][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: connector] PNG media_image3.png 414 400 media_image3.png Greyscale claim 18, the combination of Sasaki teaches the lens assembly of claim 17, and Sasaki further teaches wherein the one or more protrusions are disposed on a flange of the first lens, and the one or more recesses are disposed on a flange of the second lens (see Fig. 9: grooves/depression 1221 and protrusion 1141 are disposed on the flange portion of the lenses 114 and 122). Conclusion THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a). A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to EPHREM ZERU MEBRAHTU whose telephone number is (571)272-8386. The examiner can normally be reached 10 am -6 pm (M-F). Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thomas Pham can be reached at 571-272-3689. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /EPHREM Z MEBRAHTU/Primary Examiner, Art Unit 2872
Read full office action

Prosecution Timeline

Show 9 earlier events
Aug 26, 2025
Final Rejection mailed — §103
Oct 14, 2025
Request for Continued Examination
Oct 29, 2025
Response after Non-Final Action
Nov 05, 2025
Non-Final Rejection mailed — §103
Feb 05, 2026
Response Filed
Apr 30, 2026
Final Rejection mailed — §103
Jun 30, 2026
Response after Non-Final Action
Jul 13, 2026
Applicant Interview (Telephonic)

Precedent Cases

Applications granted by this same examiner with similar technology

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

6-7
Expected OA Rounds
75%
Grant Probability
83%
With Interview (+8.8%)
2y 9m (~0m remaining)
Median Time to Grant
High
PTA Risk
Based on 496 resolved cases by this examiner. Grant probability derived from career allowance rate.

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