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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 04/08/2026 has been entered.
Election/Restrictions
Applicant's election without traverse of Species (A1) – X1 and X2 are same, in the reply filed on 7/16/2025 is acknowledged.
Claims 6-9 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected group.
Response to Amendment
The amendment of 03/06/2026 has been entered.
Disposition of claims:
Claims 1-21 are pending.
Claims 6-9 have been withdrawn.
Claims 1, 4-5, 12, and 18-21 have been amended.
The amendments of claims 1, 4-5, 12, and 18-21 have overcome:
the rejections of claims 1-4, 10, 14-16, and 18 under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to, hereafter Han ‘026) in view of Otsu et al. (JP 2012/169325 A, hereafter Otsu) and Han et al. (“Ideal blue thermally activated delayed fluorescence emission assisted by a thermally activated delayed fluorescence assistant dopant through a fast reverse intersystem crossing mediated cascade energy transfer process”, J. Mater. Chem. C, 2019, vol. 7, page 3082-3089, hereafter Han ‘2019),
the rejections of claims 17 and 19-21 under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to) in view of Otsu et al. (JP 2012/169325 A) and Han et al. (“Ideal blue thermally activated delayed fluorescence emission assisted by a thermally activated delayed fluorescence assistant dopant through a fast reverse intersystem crossing mediated cascade energy transfer process”, J. Mater. Chem. C, 2019, vol. 7, page 3082-3089) as applied to claims 1-4, 10, 14-16, and 18 above, further in view of Pflumm et al. (US 2012/0326141 A1, hereafter Pflumm),
the rejections of claims 5 and 11 under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to) in view of Otsu et al. (JP 2012/169325 A) set forth in the last Office Action.
The rejections have been withdrawn.
Response to Arguments
Applicant’s arguments see pages 39-42 of the reply filed 03/06/2026 regarding the rejections of claims 1-4, 10, 14-16, and 18 under 35 U.S.C. 103 as being unpatentable over Han ‘026/Otsu/Han ‘2019, the rejections of claims 17 and 19-21 under 35 U.S.C. 103 as being unpatentable over Han ‘026/Otsu/Han ‘2019/Pflumm, the rejections of claims 5 and 11 under 35 U.S.C. 103 as being unpatentable over Han ‘026/Otsu set forth in the Office Action of 01/12/2026 have been considered.
Applicant argues that the amended claims overcome the cited rejections.
The cited rejections refer to the Compound of Han ‘026 as modified by Otsu and Han ‘2019 (see section 44 of the last Office Action). The compound does not read on the limitation of Formula 2A-1 of the amended claims; thus, the rejections are withdrawn.
However, Han ‘026 in view of Otsu is still applicable for new grounds of rejection.
Han ‘026 in view of Otsu reaches the Compound of Han ‘026 as modified by Otsu as shown below.
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The Compound of Han ‘026 as modified by Otsu has similar structure as Applicant’s Compound 11 of claim 21. The only difference is that the phenyl groups at the positions corresponding to R4 and R8 of Formula 3-1 of Han ‘026 are each required to be a dibenzofuran group; however, Han ‘026 does teach that R4 and R8 can be each unsubstituted heterocycle ([136]). Han ‘026 exemplifies a compound (the 13th compound in [149]) wherein the R4 and R8 are each dibenzofuran.
Lee discloses B-containing polycyclic compound used for an organic light emitting element ([0002], [0009]).
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Lee teaches the organic light emitting element comprising the Compound 4 of Lee provides higher efficiency and longer service life than the device comprising the comparative compound A (Example 4 vs. Comparative example A in Table 1). The only difference between two compounds is that the inventive compound has a dibenzofuran group at the position where a phenyl group is.
Thus, it would have been obvious to one of ordinary skill in the art to have modified the Compound of Han ‘026 as modified by Otsu by substituting the phenyl groups at the positions corresponding to R4 and R8 of Formula 3-1 of Han ‘026 with dibenzofuran, as taught by Han ‘026, Otsu, and Lee.
The modification provides Compound of Han ‘026 as modified by Otsu and Lee, which has identical structure as Applicant’s compound 11 of claim 18.
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New grounds of rejection are applied over Han ‘026 in view of Otsu and Lee.
Furthermore, Han ‘026 in view of Otsu can be used to apply another new ground of rejection.
Han ‘026 in view of Otsu reaches the Compound of Han ‘026 as modified by Otsu as shown below.
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The Compound of Han ‘026 as modified by Otsu has similar structure as Applicant’s Compounds 12 and 14. The only difference is that the benzene rings having substituents Z11 and Z12 (i.e. the benzene rings enclosed by dashed circles in the figure above) are each required to be dibenzofuran or N-phenyl carbazole. However, Han ‘026 does teach that the compound of Han ‘026 can be represented by Formula 3, wherein Z1 and Z2 can be bonded to adjacent group to form benzofuran
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or indole
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, wherein A22 can be a substituted or unsubstituted aryl ([116], [119]).
Han ‘026 exemplifies compounds wherein the Z1 and Z2 each bonds to adjacent group to form N-phenyl carbazole ([149]).
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Thus, it would have been obvious to one of ordinary skill in the art to have modified the Compound of Han ‘026 as modified by Otsu by substituting the hydrogen atoms at the position corresponding to Z1 and Z2 with fused benzofuran
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(or N-phenyl carbazole
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), as taught by Han ‘026.
The modification provides Compound of Han ‘026 as modified by Otsu (2) and (3).
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New grounds of rejections are made over Han ‘026 in view of Otsu.
Applicant’s arguments see pages 42-44 of the reply filed 03/06/2026 regarding the rejections of claims 1-4 and 13-16 under 35 U.S.C. 103 as being unpatentable over Kwon et al. (US 2025/0127052 A1, hereafter Kwon) in view of Otsu and the rejections of claims 17 and 19-21 under 35 U.S.C. 103 as being unpatentable over Kwon in view of Otsu as applied to claims 1-4 and 13-16 above, further in view of Pflumm set forth in the Office Action of 01/12/2026 have been considered.
Applicant argues that Applicant amended claim 1 to recite “Ra is a substituted or unsubstituted aryl group having 6 or 12 ring-forming carbon atoms, …” such that the amended claim overcome the cited rejections.
Respectfully, the Examiner does not agree.
The cited rejections refer to Compound of Kwon as modified by Otsu.
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While Applicant amended the number of carbon atoms to form a ring at the position Ra, Applicant did not amend the scope of the substituent of the substituted aryl group having 6 or 12 ring forming carbon atoms at the position Ra.
The Compound of Kwon as modified by Otsu has identical structure as Applicant’s Formula 1, wherein the substituents at R1 and R2 are each bonded to an adjacent group to form a ring (i.e. benzene rings enclosed by a dashed box in the figure above); Ra are each a substituted aryl group having 6 ring forming carbon atoms (i.e. phenyl). It should be noted that the naphthalene ring bonded to the nitrogen atom at the positions X1 and X2 reads on the limitation of a substituted aryl group having 6 ring forming carbon atoms (i.e. phenyl) because there is no further limitation which substituent can or cannot be the substituent of the substituted aryl group having 6 ring forming carbon atoms at the position Ra, indicating that any substituent can be the substituent of the substituted phenyl ring. For example, two alkenyl groups can be the substituents of the substituted phenyl ring, wherein the alkenyl groups are connected to form a ring.
The Compound of Kwon as modified by Otsu also reads on the limitation of Applicant’s Formula 2A-2, wherein the substituents at R8 and R9 are bonded to an adjacent group to form a ring (i.e. benzene). The rejections are maintained.
Specification
The disclosure is objected to because of the following informalities:
The image quality for the structural formulas of 1 to 60 in paragraph [00137] is poor such that the variables and the elements are illegible. It is suggested to replace with higher quality images.
The image quality for the structural formulas (i.e. NPD, G-1, CzSi, mCP, TSPO1, TPBi, and G-2) in paragraph [00273] is poor such that the structures are illegible. It is suggested to replace with higher quality images.
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 text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
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.
Claims 1-4, 10, 14-16, and 18 are rejected under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to, hereafter Han ‘026) in view of Otsu et al. (JP 2012/169325 A, hereafter Otsu) and Lee et al. (US 2021/0257550 A1, hereafter Lee)
Regarding claims 1-4, 14-16, and 18, Han ‘026 discloses a light emitting element comprising an anode, a hole transport region, an emission layer, an electron transport region, and cathode, wherein the emission layer comprises a compound of Formula 1 and the electron transport region comprises a compound of Formula 2 ([6]). Han ‘026 teaches more detailed structural Formula 3-1 as the subspecies of the Formula 1 ([125]) and exemplifies a compound (the 2nd compound in [148], hereafter Compound p148-2).
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Han ‘026 does not disclose a specific light emitting element comprising the Compound p148-2 of Han ‘026; however, Han ‘026 does teach that the compound of Han ‘026 can be incorporated in the emission layer ([6]).
Han ‘026 teaches the structure of a light emitting element comprising a first electrode (ITO), a hole transport region, an emission layer (compound of Han ‘026 as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al) (Example 1-1 in [667]-[674]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound p148-2 of Han ‘026 by incorporating it as the emitting dopant in a light emitting element, as taught by Han ‘026.
The modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the emitting dopants of Han ‘026 in the device of Han ‘026 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Modified light emitting element of Han ‘026 comprising a first electrode (ITO), a hole transport region, an emission layer (Compound p148-2 of Han ‘026 as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode.
The Compound p148-2 of Han ‘026 has a carbazole group, wherein two phenyl groups are substituted to the positions 2 and 7 of the carbazole; however, Han ‘026 does teach that Z13 can be a substituted heterocyclic group ([132]), indicating that there is no restriction on the substitution position of the substituent (i.e. phenyl) in the carbazole group.
Otsu discloses carbazole compound used for a light emitting element ([0019]).
Otsu teaches that 1 and 8 substituted carbazole provides a sterically protected C-N bond such that the compound provides suppressed micro crystallization, improved device life and suppressed voltage rise ([0039]). Otsu exemplifies phenyl groups substituted at positions 1 and 8 of carbazole (Compound 3 in [0055]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound p148-2 of Han ‘026 by substituting the substitution positions of the diphenyl groups from 2 and 7 to 1 and 8 in the carbazolyl group, as taught to Han ‘026 and Otsu.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the substitution positions of the diphenyl groups in the compound of Formula 3-1 of Han ‘026 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Compound of Han ‘026 as modified by Otsu.
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The Compound of Han ‘026 as modified by Otsu has similar structure as Applicant’s Compound 11 of claim 21. The only difference is that the phenyl groups at the positions corresponding to R4 and R8 of Formula 3-1 of Han ‘026 are each required to be a dibenzofuran group; however, Han ‘026 does teach that R4 and R8 can be each unsubstituted heterocycle ([136]). Han ‘026 exemplifies a compound (the 13th compound in [149]) wherein the R4 and R8 are each dibenzofuran.
Lee discloses B-containing polycyclic compound used for an organic light emitting element ([0002], [0009]).
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Lee teaches the organic light emitting element comprising the Compound 4 of Lee provides higher efficiency and longer service life than the device comprising the comparative compound A (Example 4 vs. Comparative example A in Table 1). The only difference between two compounds is that the inventive compound has a dibenzofuran group at the position where a phenyl group is.
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound of Han ‘026 as modified by Otsu by substituting the phenyl groups at the positions corresponding to R4 and R8 of Formula 3-1 of Han ‘026 with dibenzofuran, as taught by Han ‘026, Otsu, and Lee.
The motivation of doing so would have been to provide higher efficiency and longer service life, based on the teaching of Lee.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of phenyl dibenzofuran at the positions corresponding to R4 and R8 of Formula 3-1 of Han ‘026 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Compound of Han ‘026 as modified by Otsu and Lee, which has identical structure as Applicant’s compound 11 of claim 18.
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The modification also provides Light emitting element of Han ‘026 as modified by Otsu and Lee comprising a first electrode (ITO), a hole transport region, an emission layer (Compound of Han ‘026 as modified by Otsu and Lee as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al), meeting all the limitations of claims 1-4, 15, and 18.
The Light emitting element of Han ‘026 as modified by Otsu and Lee reads on the claimed limitations above but fails to teach the properties of the device including 1) the emission layer is emit blue light and 2) the Compound of Han ‘026 as modified by Otsu and Lee is to emit thermally activated delayed fluorescence (TADF).
It is reasonable to presume that the Light emitting element of Han ‘026 as modified by Otsu and Lee inherently possesses the properties 1) and 2).
Support for said presumption is found in the use of like materials which result in the claimed property.
The instant specification states the emission layer of the device of the instant disclosure may be to emit blue light ([0028]); the polycyclic compound of Applicant’s Formula 1 may be blue TADF dopant ([00110]); and the polycyclic compound may be to emit TADF ([0030]).
The emitting dopant of the device of Han ‘026 as modified by Otsu and Lee is Compound Han ‘026 as modified by Otsu and Lee which has identical structure as Applicant’s specific embodiment, Compound 11 ([00137]).
Therefore, Light emitting element of Han ‘026 as modified by Otsu and Lee inherently possesses the properties 1) and 2), meeting all the limitations of claims 14 and 16.
The burden is upon the Applicant to prove otherwise. In re Fitzgerald 205 USPQ 594. In addition, the presently claimed properties would obviously have been present once the Light emitting element of Han ‘026 as modified by Otsu and Lee is provided. Note In re Best, 195 USPQ at 433, footnote 4 (CCPA 1977). Reliance upon inherency is not improper even though the rejection is based on Section 103 instead of 102. In re Skoner, et al. (CCPA) 186 USPQ 80.
Regarding claim 10, the Light emitting element of Han ‘026 as modified by Otsu and Lee reads on all the features of claim 1 as outlined above.
The device comprises a first electrode (ITO), a hole transport region, an emission layer (Compound of Han ‘026 as modified by Otsu and Lee as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al).
The Compound of Han ‘026 as modified by Otsu and Lee does not a
The Compound of Han ‘026 as modified by Otsu and Lee does not have t-butyl group at the position corresponding to Z11 and Z12 of Formula 3-1 of Han ‘026; however, Han ‘026 does teach that Z11 and Z12 can be each a alkyl group and R4 and R8 can be a substituted aryl group ([132], [136]). Han ‘026 exemplifies several embodiments wherein the Z11 and Z12 are each t-butyl group and the R4 and R8 are each t-butyl phenyl group (see examples in [146] including at least 6th and 11th compounds in [147]).
It is known in the art that t-butyl group of a fluorescent emitter provides suppressed intermolecular interaction.
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound of Han ‘026 as modified by Otsu and Lee by substituting t-butyl group at the position corresponding to Z11 and Z12 of Formula 3-1 of Han ‘026, as taught by Han ‘026, Otsu, and Lee.
The motivation of doing so would have been to provide suppressed intermolecular interaction.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the hydrogen with exemplified substituent t-butyl in the compound of Han ‘026 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Compound of Han ‘026 as modified by Otsu and Lee (2) which has identical structure as the Compound of Han ‘026 as modified by Otsu and Lee except the hydrogen atoms at the positions corresponding to Z11 and Z12 are each t-butyl group.
Claims 17 and 19-21 are rejected under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to) in view of Otsu et al. (JP 2012/169325 A) and Lee et al. (US 2021/0257550 A1) as applied to claims 1-4, 10, 14-16, and 18 above, further in view of Pflumm et al. (US 2012/0326141 A1, hereafter Pflumm).
Regarding claims 17 and 19-21, the Light emitting element of Han ‘026 as modified by Otsu and Lee reads on all the features of claim 1 as outlined above.
The device comprises a first electrode (ITO), a hole transport region, an emission layer (Compound of Han ‘026 as modified by Otsu and Lee as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al).
The Light emitting element of Han ‘026 as modified by Otsu and Lee does not have a hole transport region comprising Compound G-1 or G-2 of the instant claims; however, Han ‘026 does teach the hole transport region can include a hole transport region ([276]).
Pflumm discloses a light emitting element comprising a mixture of hole transport region materials ([0006]-[0009]). Pflumm exemplifies a hole transport region comprising a mixture containing compounds A2 (E12 in Table 1).
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Pflumm teaches that the light emitting element provides significant improvement with respect to the efficiency, lifetime, roll-off behavior, and processability ([0006]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Light electric element of Han ‘026 as modified by Otsu and Lee by incorporating a hole transport region comprising a mixture of Pflumm which contains Compound A2 of Pflumm, as taught by Otsu and Pflumm.
The motivation of doing so would have been to provide significant improvement with respect to the efficiency, lifetime, roll-off behavior, and processability, based on the teaching of Pflumm.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). Substitution of hole transporting layer materials would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification also provides Light emitting element of Han ‘026 as modified by Otsu, Lee, and Pflumm comprising a first electrode (ITO), a hole transport region containing Compound A2 of Pflumm, an emission layer (Compound of Han ‘026 as modified by Otsu and Lee as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al).
Claims 1-5, 10-11, 14-16, and 18 are rejected under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to) in view of Otsu et al. (JP 2012/169325 A).
Regarding claims 1-5, 10-11, 14-16, and 18, Han ‘026 discloses a light emitting element comprising an anode, a hole transport region, an emission layer, an electron transport region, and cathode, wherein the emission layer comprises a compound of Formula 1 and the electron transport region comprises a compound of Formula 2 ([6]). Han ‘026 teaches more detailed structural Formula 3-1 as the subspecies of the Formula 1 ([125]) and exemplifies a compound (the 2nd compound in [148], hereafter Compound p148-2).
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Han ‘026 does not disclose a specific light emitting element comprising the Compound p148-2 of Han ‘026; however, Han ‘026 does teach that the compound of Han ‘026 can be incorporated in the emission layer ([6]).
Han ‘026 teaches the structure of a light emitting element comprising a first electrode (ITO), a hole transport region, an emission layer (compound of Han ‘026 as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al) (Example 1-1 in [667]-[674]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound p148-2 of Han ‘026 by incorporating it as the emitting dopant in a light emitting element, as taught by Han ‘026.
The modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the emitting dopants of Han ‘026 in the device of Han ‘026 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Modified light emitting element of Han ‘026 comprising a first electrode (ITO), a hole transport region, an emission layer (Compound p148-2 of Han ‘026 as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode.
The Compound p148-2 of Han ‘026 has a carbazole group, wherein two phenyl groups are substituted to the positions 2 and 7 of the carbazole; however, Han ‘026 does teach that Z13 can be a substituted heterocyclic group ([132]), indicating that there is no restriction on the substitution position of the substituent (i.e. phenyl) in the carbazole group.
Otsu discloses carbazole compound used for a light emitting element ([0019]).
Otsu teaches that 1 and 8 substituted carbazole provides a sterically protected C-N bond such that the compound provides suppressed micro crystallization, improved device life and suppressed voltage rise ([0039]). Otsu exemplifies phenyl groups substituted at positions 1 and 8 of carbazole (Compound 3 in [0055]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound p148-2 of Han ‘026 by substituting the substitution positions of the diphenyl groups from 2 and 7 to 1 and 8 in the carbazolyl group, as taught to Han ‘026 and Otsu.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the substitution positions of the diphenyl groups in the compound of Formula 3-1 of Han ‘026 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Compound of Han ‘026 as modified by Otsu.
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The Compound of Han ‘026 as modified by Otsu has similar structure as Applicant’s Compounds 12 and 14. The only difference is that the benzene rings having substituents Z11 and Z12 (i.e. the benzene rings enclosed by dashed circles in the figure above) are each required to be dibenzofuran or N-phenyl carbazole. However, Han ‘026 does teach that the compound of Han ‘026 can be represented by Formula 3, wherein Z1 and Z2 can be bonded to adjacent group to form benzofuran
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, wherein A22 can be a substituted or unsubstituted aryl ([116], [119]).
Han ‘026 exemplifies compounds wherein the Z1 and Z2 each bonds to adjacent group to form N-phenyl carbazole ([149]).
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At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound of Han ‘026 as modified by Otsu by substituting the hydrogen atoms at the position corresponding to Z1 and Z2 with fused benzofuran
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(or N-phenyl carbazole
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), as taught by Han ‘026.
The modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the exemplified structure at the positions corresponding to Z1 and Z2 would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Compound of Han ‘026 as modified by Otsu (2) and (3).
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The modification also provides Light emitting element of Han ‘026 as modified by Otsu (2) (or (3)) comprising a first electrode (ITO), a hole transport region, an emission layer (Compound of Han ‘026 as modified by Otsu (2) or (3) as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al), meeting all the limitations of claims 1-5, 10-11, 15, and 18.
The Light emitting element of Han ‘026 as modified by Otsu (2) (and (3)) reads on the claimed limitations above but fails to teach the properties of the device including 1) the emission layer is emit blue light and 2) the Compound of Han ‘026 as modified by Otsu (2) (and (3)) is to emit thermally activated delayed fluorescence (TADF).
It is reasonable to presume that the Light emitting element of Han ‘026 as modified by Otsu (2) (and (3)) inherently possesses the properties 1) and 2).
Support for said presumption is found in the use of like materials which result in the claimed property.
The instant specification states the emission layer of the device of the instant disclosure may be to emit blue light ([0028]); the polycyclic compound of Applicant’s Formula 1 may be blue TADF dopant ([00110]); and the polycyclic compound may be to emit TADF ([0030]).
The emitting dopant of the device of Han ‘026 as modified by Otsu (2) (and (3)) is Compound Han ‘026 as modified by Otsu (2) (and (3)) which has identical structure as Applicant’s specific embodiment, Compounds 12 and 14, respectively ([00137]).
Therefore, Light emitting element of Han ‘026 as modified by Otsu (2) (and (3)) inherently possesses the properties 1) and 2), meeting all the limitations of claims 14 and 16.
The burden is upon the Applicant to prove otherwise. In re Fitzgerald 205 USPQ 594. In addition, the presently claimed properties would obviously have been present once the Light emitting element of Han ‘026 as modified by Otsu (2) (and (3)) is provided. Note In re Best, 195 USPQ at 433, footnote 4 (CCPA 1977). Reliance upon inherency is not improper even though the rejection is based on Section 103 instead of 102. In re Skoner, et al. (CCPA) 186 USPQ 80.
Claims 17 and 19-21 are rejected under 35 U.S.C. 103 as being unpatentable over Han et al. (WO 2020/117026 A1, English translation is referred to) in view of Otsu et al. (JP 2012/169325 A) as applied to claims 1-5, 10-11, 14-16, and 18 above, further in view of Pflumm (US 2012/0326141 A1).
Regarding claims 17 and 19-21, the Light emitting element of Han ‘026 as modified by Otsu (2) (and (3)) reads on all the features of claim 1 as outlined above.
The device comprises a first electrode (ITO), a hole transport region, an emission layer (Compound of Han ‘026 as modified by Otsu (2) or (3) as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al).
The Light emitting element of Han ‘026 as modified by Otsu (2) (or (3)) does not have a hole transport region comprising Compound G-1 or G-2 of the instant claims; however, Han ‘026 does teach the hole transport region can include a hole transport region ([276]).
Pflumm discloses a light emitting element comprising a mixture of hole transport region materials ([0006]-[0009]). Pflumm exemplifies a hole transport region comprising a mixture containing compounds A2 (E12 in Table 1).
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Pflumm teaches that the light emitting element provides significant improvement with respect to the efficiency, lifetime, roll-off behavior, and processability ([0006]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Light electric element of Han ‘026 as modified by Otsu (2) (or (3)) by incorporating a hole transport region comprising a mixture of Pflumm which contains Compound A2 of Pflumm, as taught by Otsu and Pflumm.
The motivation of doing so would have been to provide significant improvement with respect to the efficiency, lifetime, roll-off behavior, and processability, based on the teaching of Pflumm.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). Substitution of hole transporting layer materials would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification also provides Light emitting element of Han ‘026 as modified by Otsu, Lee, and Pflumm (2) (or (3)) comprising a first electrode (ITO), a hole transport region containing Compound A2 of Pflumm, an emission layer (Compound of Han ‘026 as modified by Otsu (2) (or (3)) as a dopant, compound H1 as a host), an electron transport region (2-1), and a second electrode (Al).
Claims 1-4 and 13-16 are rejected under 35 U.S.C. 103 as being unpatentable over Kwon et al. (US 2025/0127052 A1, hereafter Kwon) in view of Otsu et al. (JP 2012/169325 A).
Regarding claims 1-4 and 13-16, Kwon discloses a thermally activated delayed fluorescence (TADF) compound (Formula 1 in [0008]) used for a light emitting element ([0001]) and exemplifies Compound 1-13 ([0019]).
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Kwon does not disclose a specific light emitting element comprising the Compound 1-13 of Kwon; however, Kwon does teach that the compound of Kwon can be used as the emitting dopant ([0006], [0108]).
Kwon teaches the structure of a light emitting element comprising a first electrode (ITO), an emission layer (compound of Kwon as a dopant, TmPyPB as a host), and a second electrode (Al) ([0108]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound 1-13 of Kwon by incorporating it as the emitting dopant in a light emitting element, as taught by Kwon.
The modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the emitting dopants of Kwon in the device of Kwon would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Modified light emitting element of Kwon comprising a first electrode (ITO), an emission layer (Compound 1-13 of Kwon as a dopant, TmPyPB as a host), and a second electrode (Al).
The Compound 1-13 of Kwon has a carbazole group, wherein two methyl phenyl groups are substituted to the positions 3 and 6 of the carbazole; however, Kwon does teach that R2 can be a substituted heteroaryl group, indicating that there is no restriction on the substitution position of the methyl phenyl groups in the carbazolyl group at the position R2 of Formula 1 of Kwon.
Otsu discloses carbazole compound used for a light emitting element ([0019]).
Otsu teaches that 1 and 8 substituted carbazole provides a sterically protected C-N bond such that the compound provides suppressed micro crystallization, improved device life and suppressed voltage rise ([0039]). Otsu exemplifies phenyl groups substituted at positions 1 and 8 of carbazole (Compound 3 in [0055]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Compound 1-13 of Kwon by substituting the substitution positions of the methyl phenyl groups from position 3,6 to position 1,8 in the carbazolyl group, as taught to Kwon and Otsu.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). The substitution of the substitution positions of the methyl phenyl groups in the compound of Formula 1 of Kwon would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification provides Compound of Kwon as modified by Otsu.
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The Compound of Kwon as modified by Otsu has identical structure as Applicant’s Formula 1, wherein the substituents at R1 and R2 are each bonded to an adjacent group to form a ring (i.e. benzene rings enclosed by a dashed box in the figure above); Ra are each a substituted aryl group having 6 ring forming carbon atoms (i.e. phenyl). It should be noted that the naphthalene ring bonded to the nitrogen atom at the positions X1 and X2 reads on the limitation of a substituted aryl group having 6 ring forming carbon atoms (i.e. phenyl) because there is no further limitation which substituent can or cannot be the substituent of the substituted aryl group having 6 ring forming carbon atoms at the position Ra.
The Compound of Kwon as modified by Otsu has identical structure as Applicant’s Formula 2A-2, wherein the substituents at R8 and R9 are bonded to an adjacent group to form a ring (i.e. benzene).
The modification also provides Light emitting element of Kwon as modified by Otsu comprising a first electrode (ITO), an emission layer (Compound of Kwon as modified by Otsu as a dopant, TmPyPB as a host), and a second electrode (Al), meeting all the limitations of claims 1-4, 13, and 15.
The Light emitting element of Kwon as modified by Otsu reads on the claimed limitations above but fails to teach the properties of the device including 1) the emission layer is emit blue light and 2) the Compound of Kwon as modified by Otsu is to emit thermally activated delayed fluorescence (TADF).
It is reasonable to presume that the Light emitting element of Kwon as modified by Otsu inherently possesses the properties 1) and 2).
Support for said presumption is found in the use of like materials which result in the claimed property.
The instant specification states the emission layer of the device of the instant disclosure may be to emit blue light ([0028]); the polycyclic compound of Applicant’s Formula 1 may be blue TADF dopant ([00110]); and the polycyclic compound may be to emit TADF ([0030]).
The emitting dopant of the device of Kwon as modified by Otsu is Compound Kwon as modified by Otsu which has identical structure as the compound of the instant invention represented by Formula 1 ([0006]).
Furthermore, Kwon teaches that the compound of Kwon has TADF characteristics ([0001]).
Therefore, Light emitting element of Kwon as modified by Otsu inherently possesses the properties 1) and 2), meeting all the limitations of claims 14 and 16.
The burden is upon the Applicant to prove otherwise. In re Fitzgerald 205 USPQ 594. In addition, the presently claimed properties would obviously have been present once the Light emitting element of Kwon as modified by Otsu is provided. Note In re Best, 195 USPQ at 433, footnote 4 (CCPA 1977). Reliance upon inherency is not improper even though the rejection is based on Section 103 instead of 102. In re Skoner, et al. (CCPA) 186 USPQ 80.
Claims 17 and 19-20 are rejected under 35 U.S.C. 103 as being unpatentable over Kwon et al. (US 2025/0127052 A1, hereafter Kwon) in view of Otsu et al. (JP 2012/169325 A) as applied to claims 1-4 and 13-16 above, further in view of Pflumm et al. (US 2012/0326141 A1).
Regarding claims 17 and 19-20, the Light emitting element of Kwon as modified by Otsu reads on all the features of claim 1 as outlined above.
The device comprises a first electrode (ITO), an emission layer (Compound of Kwon as modified by Otsu as a dopant, TmPyPB as a host), and a second electrode (Al).
The Light emitting element of Kwon as modified by Otsu does not have a hole transport region comprising Compound G-1 or G-2 of the instant claims; however, Kwon does teach the hole transport region can be included in the device ([0024]).
Pflumm discloses a light emitting element comprising a mixture of hole transport region materials ([0006]-[0009]). Pflumm exemplifies a hole transport region comprising a mixture containing compounds A2 (E12 in Table 1).
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Pflumm teaches that the light emitting element provides significant improvement with respect to the efficiency, lifetime, roll-off behavior, and processability ([0006]).
At the time the invention was effectively filed, it would have been obvious to one of ordinary skill in the art to have modified the Light electric element of Kwon as modified by Otsu by incorporating a hole transport region comprising a mixture of Pflumm which contains Compound A2 of Pflumm, as taught by Otsu and Pflumm.
The motivation of doing so would have been to provide significant improvement with respect to the efficiency, lifetime, roll-off behavior, and processability, based on the teaching of Pflumm.
Furthermore, the modification would have been a combination of prior art elements according to known material to achieve predictable results. See MPEP 2143(I)(A). Substitution of hole transporting layer materials would have been one known element for another known element and would have led to predictable results. See MPEP 2143(I)(B).
The modification also provides Light emitting element of Kwon as modified by Otsu and Pflumm comprises a first electrode (ITO), a hole transport region containing Compound A2 of Pflumm, an emission layer (Compound of Kwon as modified by Otsu as a dopant, TmPyPB as a host), and a second electrode (Al).
Allowable Subject Matter
Claim 12 is allowed.
The following is an examiner’s statement of reasons for allowance:
With respect to claim 12, as outlined above, Han ‘026 (WO 2020/117026 A1) is representative of the closest prior art.
Han ‘026 teaches a light emitting element comprising a B- and N-containing polycyclic compound.
However, Han ‘026 does not teach modifying the compound such that the compound has identical structure as the Formula 5 of the instant claim 12. There is no sufficient teaching or motivation in the cited prior art or the broader prior art to teach modifications of a light emitting element comprising a polycyclic compound such that the polycyclic compound has identical structure as the Formula 5 of the instant claim 12.
With respect to claim 12, as outlined above, Kwon (US 2025/0127052 A1) is representative of the closest prior art.
Kwon teaches a light emitting element comprising a B- and N-containing polycyclic compound.
However, Kwon does not teach modifying the compound such that the compound has identical structure as the Formula 5 of the instant claim 12. There is no sufficient teaching or motivation in the cited prior art or the broader prior art to teach modifications of a light emitting element comprising a polycyclic compound such that the polycyclic compound has identical structure as the Formula 5 of the instant claim 12.
With respect to claim 12, as outlined in the Office Action of 08/08/2025, Nasu (JP 2017/226838 A) is representative of the closest prior art.
Natsu teaches a light emitting element comprising a B- and N-containing polycyclic compound.
However, Natsu does not teach modifying the compound such that the compound has identical structure as the Formula 5 of the instant claim 12. There is no sufficient teaching or motivation in the cited prior art or the broader prior art to teach modifications of a light emitting element comprising a polycyclic compound such that the polycyclic compound has identical structure as the Formula 5 of the instant claim 12.
With respect to claim 12, as outlined in the Office Action of 08/08/2025, Wang (CN110627822 A) is representative of the closest prior art.
Wang teaches a light emitting element comprising a B- and N-containing polycyclic compound.
However, Wang does not teach modifying the compound such that the compound has identical structure as the Formula 5 of the instant claim 12. There is no sufficient teaching or motivation in the cited prior art or the broader prior art to teach modifications of a light emitting element comprising a polycyclic compound such that the polycyclic compound has identical structure as the Formula 5 of the instant claim 12.
In sum, claim 12 is allowed over the cited prior art.
Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled “Comments on Statement of Reasons for Allowance”.
Conclusion
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/SEOKMIN JEON/Primary Examiner, Art Unit 1786
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