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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 August 26, 2026 has been entered.
Drawings
The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they do not include the following reference sign mentioned in the description: “10-1”. Figure 2 has the three Mach-Zehnder type optical waveguides and labels the lowest two as “10-2” – from context it is assumed that the lowest should be labeled “10-1” instead of “10-2”. Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
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 (i.e., changing from AIA to pre-AIA ) 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.
Claims 1-4 and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Sorg et al. US Patent Application Publication 2022/0337794, of record, in view of Doi et al. US Patent Application Publication 2011/0229070, of record, in further view of Grinberg et al. US Patent Application Publication 2003/0103709 and in further view of Ermeneux “Tutorial: High Speed Fiber Modulator Basics” https://www.laserdiodesource.com/high-speed-fiber-modulator-basics#:~:text=In%20order%20to%20operate%20the,performance%20(see%20figure%207), 2019, of record; with evidence of certain features provided by CRC Handbook of Chemistry and Physics, 65th Edition, page E-184, 1985, Riesebosch US Patent Application Publication 2013/0135879, of record, and Microchip Technology webpage “PMIC – Power Management ICs” as of 2020, of record.
Regarding claim 1 Sorg discloses a light source unit (title e.g. figure 3B planar light circuit 1), comprising: a light source part including a plurality of optical semiconductor inter alia paragraph [0048] “10 to 12 emits light at different wavelengths” & paragraphs [0057-59] disclose 32-34 are 3-15nm or 4-11nm offset from 10-12, respectively); a first electrical signal generating device configured to generate an electrical signal to control current that drives the plurality of optical semiconductor devices (implicit given paragraph [0076] “each of the laser diodes 10 to 12, 32 to 34 can be separately controlled” & paragraph [0069] noting “Each VCSEL has a fast modulation capability and only requires a low current”); a plurality of optical modulators (e.g. Mach-Zehnder modulator 71, 72, 73, 74, 75 & 76) respectively corresponding to the plurality of optical semiconductor devices (e.g. see figure 3B), each of the plurality of optical modulators including: a Mach-Zehnder type optical waveguide with a lithium niobate (paragraph [0073] “Mach-Zehnder modulators … include a nonlinear refractive index material, e.g. lithium niobate”) film processed in a convex shape (see figures 3A-3B), configured to have an electric field applied to the Mach-Zehnder optical waveguide (paragraph [0011-12] “Mach-Zehnder modulator includes an electrode coupled to the electro-optical material ... the Mach-Zehnder modulator is configured to be controlled by an electrical signal provided by the electrode” e.g. via electrode 61, 62, 63, 64, 65 & 66), the optical modulator (e.g. 71-76) having a light incidence surface (e.g. inlets 16, 17, 18, 35, 36 & 37, respectively) configured to face the light emission surface (implicit given inter alia abstract & paragraph [0049] “16 to 18 which couple the first number N of laser diodes” e.g. see figure 3B); and a second electrical signal generating device configured to generate an electrical signal to control a voltage that operates the plurality of optical modulators (implicit since a voltage source is require to provide voltage to operate said Mach-Zehnder modulators) wherein the plurality of optical semiconductor devices (e.g. 10-12 & 32-34) include at least a red-light optical semiconductor device (e.g. paragraph [0048] “11 is realized as a red VCSEL”) with a peak wavelength of 600 nm to 830 nm (e.g. paragraph [0048] “red”1), a green-light optical semiconductor device (e.g. paragraph [0048] “12 is implemented as a green VCSEL”) with a peak wavelength or 500 nm to 600 nm (e.g. paragraph [0048] “green”2), and a blue-light optical semiconductor device (e.g. paragraph [0048] “10 is implemented as a blue VCSEL”) with a peak wavelength of 380 nm to 500 nm (e.g. paragraph [0048] “blue”3), wherein each of the plurality of optical semiconductor devices is optically connected to a corresponding one of the plurality of optical modulators with an air gap being provided between the light emission surface of the optical semiconductor device and the light incidence surface of the corresponding optical modulator (e.g. see figure 5D shows VCSEL 10 separated from inlet 16 by a gap), wherein each of the plurality of optical modulators further includes: a modulation-voltage application electrode configured to apply a modulation voltage to the Mach-Zehnder optical waveguide (e.g. inter alia paragraph [0012] “the Mach-Zehnder modulator is configured to be controlled by an electrical signal provided by the electrode. The electrical signal is e.g. a voltage” & paragraph [0074] “modulators 71 to 76 are electrically controlled … modulators 71 to 76 are configured to provide a dimming or an additional dimming” & paragraph [0084] “voltage provided between the electrode 61 and the substrate 13 generates an electric field in the material 104. The Mach-Zehnder modulator 71 is electrically controlled”); wherein the first electrical signal generating device and the second electrical signal generating device are synchronizably4 connected to each other (the electrical signals can be, i.e. are capable of, being synchronized e.g. via control unit 33), wherein intensity of light emitted from the optical modulator is changed by current modulation controlled by the first electrical signal generating device and voltage modulation controlled by the second electrical signal generating device (axiomatic), wherein the intensity of the light emitted from each of the plurality of optical modulators can be modulated (axiomatic) by overlapping the current modulation that drives each of the plurality of optical semiconductor devices using the first electrical signal generating device and the voltage modulation that operates each of the plurality of optical modulators using the second electrical signal generating device (inter alia paragraph [0069] notes the VCSEL using current to pulse, i.e. modulate & paragraph [0073] notes “1 obtains an additional dimming due to the Mach-Zehnder modulators”), and further comprising a control unit configured to control the plurality of optical modulators (inherent given the intended use in a display system see inter alia abstract paragraphs [0002, 0029 & 0038]), and wherein the control unit is configured to: independently control the modulation voltage of each optical modulator (inherent given the intended use in a display system see inter alia abstract paragraphs [0002, 0029 & 0038] & given that the electrodes 61-66 respectively providing control voltage to modulators 71-76 & paragraph [0074] discussing the modulator operations to generate “intensity reductions” and dimming of the different color laser diode outputs would necessarily be individually modulated to achieve white balance that would be disturbed by aging and temperature of the device, as discussed in paragraph [0034]).
Sorg does not disclose a DC-bias-voltage application electrode, separate from the modulation-voltage application electrode, configured to apply a DC bias voltage to the Mach-Zehnder optical waveguide, wherein the first electrical signal generating device is connected to a synchronization signal generator together with the second electrical signal generating device, wherein synchronization signals generated from the synchronization signal generator are applied to synchronize current control of the optical semiconductor device by the first electrical signal generating device and voltage control of the optical modulator by the second electrical signal generating device; and wherein independently control the DC bias voltage applied to the DC-bias-voltage application electrode of each optical modulator so as to individually adjust an operating point of each optical modulator.
Doi teaches a similar light source unit including an optical modulator having a Mach-Zehnder type optical waveguide with a lithium niobate (e.g. figure 1 Mach-Zehnder optical modulator 100 paragraph [0003] “lithium niobate”); a second electrical signal generating device that operates the optical modulator (e.g. high-frequency signal source 128), where the optical modulator includes a first optical waveguide (e.g. arm waveguide 116a), a second optical waveguide (e.g. arm waveguide 116b), a first electrode (e.g. electrode 122a) connected to and extending along with the first waveguide (e.g. see figure 1) and a first end of the first electrode is connected to the second electrical signal generating device (e.g. see figure 1); and further teaches a DC-bias-voltage application electrode (intra alia paragraph [0004] “electrodes 122a, 122b are connected to a bias circuit 124”), configured to apply a DC bias voltage to the Mach-Zehnder optical waveguide (inter alia paragraph [0004[ “the bias circuit 124 is connected to a power supply 126 for supplying a DC voltage”) for the purpose of setting the operating point of the modulator (intra alia paragraph [0004]), and wherein independently control the DC bias voltage applied to the DC-bias-voltage application electrode of each optical modulator so as to individually adjust an operating point of each optical modulator (inter alia paragraph [0008] “adjust the voltage of the DC bias”) for the purpose of compensating for DC bias over time (inter alia paragraph [0008]). Therefore, it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention for the light source unit as disclosed by Sorg to have a DC-bias-voltage application electrode configured to apply a DC bias voltage to the Mach-Zehnder optical waveguide and wherein independently control the DC bias voltage applied to the DC-bias-voltage application electrode of each optical modulator so as to individually adjust an operating point of each optical modulator as taught by Doi for the purpose of setting the operating point of the modulator and for the purpose of compensating for DC bias over time.
Doi does not teach the DC-bias-voltage application electrode is separate from the modulation-voltage application electrode, and wherein the first electrical signal generating device is connected to a synchronization signal generator together with the second electrical signal generating device, wherein synchronization signals generated from the synchronization signal generator are applied to synchronize current control of the optical semiconductor device by the first electrical signal generating device and voltage control of the optical modulator by the second electrical signal generating device.
Grinberg teaches a similar modulator (title e.g. figure 4 modulator 10’) operating with modulating voltage Vm and bias voltage Vb applied to a Mach-Zehnder modulator (paragraph [0035]); and further teaches said voltages are applied to two electrodes (paragraph [0035] e.g. separate sections 54’ & 56’ for the purpose of using an arrangement that works well at high frequencies (paragraph [0035]). Therefore, it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention for the light source unit as disclosed by the combination of Sorg as modified by Doi to have the DC-bias-voltage application electrode is separate from the modulation-voltage application electrode as taught by Grinberg for the purpose of using an arrangement that works well at high frequencies.
Grinberg does not teach the first electrical signal generating device is connected to a synchronization signal generator together with the second electrical signal generating device, wherein synchronization signals generated from the synchronization signal generator are applied to synchronize current control of the optical semiconductor device by the first electrical signal generating device and voltage control of the optical modulator by the second electrical signal generating device.
Ermeneux teaches a similar light source unit (in toto e.g. see figure 6) including a first electrical signal generating device (e.g. 1-Laser diode drive – see unlabeled photo on page 6) that drives an optical semiconductor device (e.g. laser diode), a second electrical signal generating device (e.g. 3-EOM fast modulation Electronics & 4-RF Amplifier) that drives an optical modulator (e.g. Electro optic modulator); and further teaches the first electrical signal generating device (e.g. 1) is connected to a synchronization signal generator device (e.g. 2-Synchronisation electronics & figure 2) together with the second electrical signal generating device (e.g. 3), and the intensity of the light emitted from the optical modulator is changed by synchronizing timing of modulation signals with synchronization signals generated from the synchronization signal generator (inter alia page 6 first sentence) for the purpose of obtaining the desired modulation and the combination provides very good technical performance (inter alia page 6 first sentence and last paragraph). Therefore, it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention for the light source unit as disclosed by the combination of Sorg as modified by Doi and Grinberg to have the first electrical signal generating device is connected to a synchronization signal generator device together with the second electrical signal generating device, and the intensity of the light emitted from the optical modulator is changed by synchronizing timing of modulation signals with synchronization signals generated from the synchronization signal generator as taught by Ermeneux for the purpose of obtaining the desired modulation and the combination provides very good technical performance.
Regarding claim 2 the combination of Sorg as modified by Doi, Grinberg and Ermeneux discloses the light source unit according to claim 1, as set forth above. Sorg, Doi, Grinberg and Ermeneux do not disclose or teach wherein the first electrical signal generating device and the second electrical signal generating device are on a common semiconductor substrate. The examiner takes Official Notice5 that a power management integrated circuits, a.k.a. PMICs, which has multiple power supplies on a common substrate is well known as evidenced by Riesebosch (paragraph [0016] notes power integrated circuits including current and/or voltage supplies are known) and Microchip Technology for the purpose of optimizing battery life, saving space and easily integrating power management in a compact mobile device (Microchip Technology first sentence). Therefore, it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention for the light source unit as disclosed by Sorg as modified by Doi, Grinberg and Ermeneux to have the first electrical signal generating device and the second electrical signal generating device on a common semiconductor substrate since PMICs are well known and one would be motivate to use a PMIC for the purpose of optimizing battery life, saving space and easily integrating power management in a device.
Regarding claims 3-4 the combination of Sorg as modified by Doi, Grinberg and Ermeneux discloses the light source unit according to claim 1, as set forth above. Sorg, Doi, Grinberg and Ermeneux do not discuss the physical property minimum light intensity change due to the first and/or second electrical signal generating device. Specifically, Sorg does not disclose wherein a minimum value of a change of light intensity by the first electrical signal generating device is greater than a minimum value of a change of light intensity by the second electrical signal generating device, as recited by claim 3; or wherein a minimum value of a change of light intensity by the second electrical signal generating device is greater than a minimum value of a change of light intensity by the first electrical signal generating device, as recited by claim 4. Applicant has not disclosed that a minimum value of a change of light intensity by the first electrical signal generating device is greater than or less than a minimum value of a change of light intensity by the second electrical signal generating device solves any stated problem or is for any particular purpose and it appears that the invention would perform equally well with either claimed situation. Regardless, there are a limited number of incremental intensity size relationships, i.e. greater than, less than or equal to. It has been held that where there are only a finite number of predictable identifiable solutions, it would have been obvious to a person of ordinary skill in the art to try the known options within his or her technical grasp. See KSR International Co. v Teleflex Inc., 82 USPQ2d 1385 (2007) and MPEP 2143. Therefore, it would have been obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention for physical property of the minimum value of a change of light intensity by the first electrical signal generating device be greater than or less than the minimum value of a change of light intensity by the second electrical signal generating device since it appears that the invention would perform equally well in the either case and there are only a finite number of predictable identifiable relationships, it would have been obvious to a person of ordinary skill in the art to choose known elements within his or her technical grasp.
Regarding claim 9 the combination of Sorg as modified by Doi, Grinberg and Ermeneux discloses the light source unit according to claim 1, as set forth above. Sorg further discloses it is further comprising a multiplexing part (e.g. combiner 20) configured to multiplex the light from the plurality of optical semiconductor devices (e.g. 10-12) wherein the multiplexed light passing through the multiplexing part is emitted from one light exit port (e.g. outlet 19).
Response to Arguments
Applicant’s arguments, see remarks, filed August 26, 2026, with respect to rejections under 112 have been fully considered and in combination with the amendments are persuasive. The rejections under 112 have been withdrawn.
Applicant's arguments filed August 26, 2026 have been fully considered but they are not persuasive.
Regarding applicant's argument that the combination of Sorg as modified by Doi and Ermeneux fails to disclose or teach the new limitation “each of the plurality of optical semiconductor devices is optically connected to a corresponding one of the plurality of optical modulators with an air gap being provided between the light emission surface of the optical semiconductor device”, the examiner is unpersuaded. Sorg’s figures 5B-5D each clearly show a gap between an exemplar VCSEL 10 (i.e. optical semiconductor device) and the inlet 16 of an optical modulator. It has been held the drawings must be evaluated for what they reasonably disclose and suggest to one of ordinary skill in the art. In re Aslanian, 590 F.2d 911, 200 USPQ 500 (CCPA 1979), see MPEP 2125. Further, in arguendo¸ while not relied upon Sorg figure 7C also shows a coupling between exemplar VCSEL 10 with an outlet 19’ to inlet 16 with a gap between.
Regarding applicant's argument that the combination of Sorg as modified by Doi and Ermeneux fails to disclose or teach the new limitation “the intensity of the light emitted from each of the plurality of optical modulators can be modulated by overlapping the current modulation that drives each of the plurality of optical semiconductor devices using the first electrical signal generating device and the voltage modulation that operates each of the plurality of optical modulators using the second electrical signal generating device”, the examiner is unpersuaded. As set forth above, Sorg discloses pixels comprising red, green and blue VCSEL’s (i.e. optical semiconductor devices) each coupled to a Mach-Zehnder modulator (i.e. optical modulators) for use as a light source for a display. For example, figure 7B shows light circuit 1, such as in figure 3B, in a display arrangement 55, see paragraph [0095]. In order to operate6 it necessarily flows7 that the receive power (i.e. first and second electrical signal generating devices). Further, as set forth above, laser diodes are current controlled devices and Mach-Zehnder modulators are voltage controlled. Particularly, Sorg paragraph [0076] states: “each of the laser diodes 10 to 12, 32 to 34 can be separately controlled” and paragraph [0069] states: “[e]ach VCSEL has a fast modulation capability and only requires a low current … perform very high speed modulation (ultra-short) pulses for VCSEL and to achieve a high dynamic range (wide dimming range).” And paragraph [0073] notes “1 obtains an additional dimming due to the Mach-Zehnder modulators”. The fact that the VCSEL’s are pulsed (i.e. modulated) and the modulators add additional dimming it necessarily flows that the voltage to the modulators and the current to the laser diodes are controlled and supplied in a coordinated/synchronized fashion.
Regarding applicant's argument that the combination of Sorg as modified by Doi and Ermeneux fails to disclose or teach the new limitation “the control unit is configured to: independently control the modulation voltage of each optical modulator”, the examiner is unpersuaded. Given electrodes 61-66 respectively providing control voltage to modulators 71-76 in combination with paragraph [0074] discussing the modulator operations to generate “intensity reductions.” Dimming of the different color laser diode outputs would necessarily be individually modulated to achieve white balance that would be disturbed by aging and temperature of the device, as discussed in paragraph [0034].
Regarding applicant's argument that the combination of Sorg as modified by Doi and Ermeneux fails to disclose or teach the new limitation “independently control the DC bias voltage applied to the DC-bias-voltage application electrode of each optical modulator so as to individually adjust an operating point of each optical modulator”, the examiner is unpersuaded. Doi teaches using a bias via bias circuit 124, for the purpose of setting the operating point of each optical modulator, see figure 1 and paragraph [0004].
Applicant’s arguments with respect the new limitation “the DC-bias-voltage application electrode is separate from the modulation-voltage application electrode” 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. Particularly, as set forth above, new art Grinberg teaches a similar Mach-Zehnder modulator with two electrodes, one for a modulation voltage and one for a biasing voltage, for the purpose of using an arrangement that works well at high frequencies.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to George G King whose telephone number is (303)297-4273. The examiner can normally be reached 9-5.
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/George G. King/Primary Examiner, Art Unit 2872 September 6, 2026
1 Red is understood to be between 647 and 700nm, as evidenced by CRC Handbook, table entitled “Wave Lengths of Various Radiations” line 12.
2 Green is understood to be between 491.2 and 575nm, as evidenced by CRC Handbook, table entitled “Wave Lengths of Various Radiations” line 8.
3 Blue is understood to be between 424 and 491.2nm, as evidenced by CRC Handbook, table entitled “Wave Lengths of Various Radiations” line 7.
4 The examiner notes that the suffix “-ably” means “capable of” according to the Random House Unabridged Dictionary, thus synchronizably means “capable of being synchronized.” It has been held that the recitation that an element is "capable of" performing a function is not a positive limitation but only requires the ability to so perform. It does not constitute a limitation in any patentable sense; In re Hutchison, 69 USPQ 138. Also see Intel Corp. v. U.S. Int'l Trade Comm’n, 946 F.2d 821, 832, 20 USPQ2d 1161, 1171 (Fed. Cir. 1991), MPEP 2114. IV and MPEP 2173.05(g).
5 Since applicant did not traverse the examiner’s assertion of official notice the statement is taken to be admitted prior art because applicant did not traverse the examiner’s assertion of official notice, see MPEP 2144.03 C.
6 When the reference relied on expressly anticipates or makes obvious all of the elements of the claimed invention, the reference is presumed to be operable. Once such a reference is found, the burden is on applicant to rebut the presumption of operability. In re Sasse, 629 F.2d 675, 207 USPQ 107 (CCPA 1980. Also see In re Antor Media Corp., 689 F.3d 1282, 103 USPQ2d 1555 (Fed. Cir. 2012). MPEP 2121.
7 "In relying upon the theory of inherency, the examiner must provide a basis in fact and/or technical reasoning to reasonably support the determination that the allegedly inherent characteristic necessarily flows from the teachings of the applied prior art." Ex parte Levy, 17 USPQ2d 1461, 1464 (Bd. Pat. App. & Inter. 1990) (emphasis in original). MPEP 2112.
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