DETAILED ACTION
This Action is responsive to the Amendment filed on 03/30/2026.
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 .
In the event the determination of the status of the application as subject to 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.
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.
Claims 1-3 and 8 are rejected under 35 U.S.C. 103 as being unpatentable over Imada (US 2019/0294005), in view of Yamada (US 2018/0180249).
Regarding claim 1, Imada (see, e.g., FIG. 1, FIG. 24) discloses light-emitting module, comprising:
a substrate 14, 24, 25, 26, 27 comprising a support member 14, 25, 26, 27 having a first surface e.g., bottom surface of 14, 25, 26, 27 and a wiring layer 24 arranged on the first surface e.g., bottom surface of 14, 25, 26, 27 (Para 0103, Para 0104, Para 0135);
a light-shielding member 15B arranged on the first surface e.g., bottom surface of 14, 25, 26, 27 and having a plurality of holes e.g., space between adjacent 15B sections in plan view (Para 0077-Para 0078);
a plurality of light-emitting elements 11 respectively arranged inside the plurality of holes e.g., space between adjacent 15B sections on the first surface e.g., bottom surface of 14, 25, 26, 27 and electrically connected to the wiring layer 24 (Para 0038, Para 0103);
a first light-transmissive member 1 having a plurality of convex bodies e.g., inverted cones above light emitting elements respectively arranged on light extraction surfaces 11c of the plurality of light-emitting elements 11 inside the plurality of holes e.g., space between adjacent 15B sections (Para 0051, Para 0063, Para 0064); and
a plurality of gaps e.g., space occupied by 15A between 11 and 15B on left side of 11; space occupied by 15A between 11 and 15B on right side of 11 respectively arranged in contact with the wiring layer 24 between the plurality of light-emitting elements 11 and inner peripheral surfaces of the plurality of holes e.g., inner peripheral surface of 15B created by the space between adjacent 15B sections, wherein the plurality of gaps e.g., space occupied by 15A between 11 and 15B on left side of 11; space occupied by 15A between 11 and 15B on right side of 11 has a refractive index e.g., refractive index of white resin lower than a refractive index e.g., refractive index of sapphire substrate within light emitting elements 11 of the plurality of light-emitting elements 11, and the plurality of convex bodies e.g., inverted cones above light emitting elements have convex outer peripheral surfaces e.g., top surfaces of inverted cones that are in contact e.g., indirect contact with the respective light extraction surfaces 11c of the plurality of light-emitting elements 11 (Para 0038, Para 0060, Para 0074).
Examiner note: Examiner notes that the refractive index of white resin is lower than the refractive index of sapphire as evidence by Yamada. Yamada teaches that white member 108, e.g., white resin has a smaller refractive index than the refractive index of light-transmissive member 109, e.g., sapphire (Para 0056, Para 0070).
Regarding claim 2, Imada (see, e.g., FIG. 1, FIG. 24) teaches the light-emitting module according to claim 1, wherein in plan view, the plurality of gaps e.g., space occupied by 15A between 11 and 15B on left side of 11; space occupied by 15A between 11 and 15B on right side of 11 surround respective outer peripheries of lateral surfaces e.g., lateral surfaces of 11 of the plurality of light-emitting elements 11, and the inner peripheral surfaces of the plurality of holes e.g., inner peripheral surface of 15B created by the space between adjacent 15B sections surround respective outer peripheries of lateral surfaces of the plurality of light-emitting elements 11 via the plurality of gaps e.g., space occupied by 15A between 11 and 15B on left side of 11; space occupied by 15A between 11 and 15B on right side of 11.
Regarding claim 3, Imada (see, e.g., FIG. 1, FIG. 24) teaches the light-emitting module according to claim 1, wherein an outer peripheral surface of each of the plurality of convex bodies e.g., inverted cones above light emitting elements has a shape e.g., inverted cone shape having a diameter decreasing toward the light extraction surface 11c (Para 0051).
Regarding the limitation “a shape selected from a group consisting of a prism, a cylinder, an ellipsoid, a sphere, a truncated pyramid, a truncated cone, and an elliptical truncated cone, the truncated pyramid, the truncated cone, and the elliptical truncated cone,” it would have been an obvious matter of design choice to adjust the shape of the convex bodies to be either an inverted cone, a truncated cone, or a truncated pyramid as taught by Imada (see, e.g., FIG. 3, FIG. 24) who teaches an inverted cone and a truncated cone (Para 0051). Moreover, a change in shape is a matter of design choice, which a person within the level of ordinary skill in the art would have found to be obvious absent persuasive evidence that the particular configuration of the claimed shape of the convex bodies was significant, and a change in shape is generally recognized as being within the level of ordinary skill in the art. In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966).
Regarding claim 8, Imada (see, e.g., FIG. 1, FIG. 24) teaches the light-emitting module according to claim 1, wherein each of the plurality of light-emitting elements 11 comprises a light-reflecting film 15A arranged on a lateral surface e.g., lateral surface of 11 located between the light extraction surface 11c and an electrode formation surface 11d located on an opposite side of each of the plurality of light-emitting elements 11 from the light extraction surface 11c (Para 0038, Para 0069, Para 0074, Para 0076).
Claims 1, 4-5, and 10-12 are rejected under 35 U.S.C. 103 as being unpatentable over Cha (US 2017/0148771), in view of Ukawa (US 2020/0118982), in view of Beng (US 2025/0056936), in view of Ikeda (US 2022/0005865).
Regarding claim 1, Cha (see, e.g., FIG. 12C) discloses a light-emitting module, comprising:
a substrate 201, 207, 208 comprising a support member 201 having a first surface e.g., top surface of 201 and a wiring layer 207, 208 arranged on the first surface e.g., top surface of 201 (Para 0104, Para 0128);
a light-shielding member 210 arranged on the first surface e.g., top surface of 201 and having a plurality of holes e.g., space between adjacent 210 sections in plan view (Para 0130);
a plurality of light-emitting elements 50 respectively arranged inside the plurality of holes e.g., space between adjacent 210 sections on the first surface e.g., top surface of 201 and electrically connected to the wiring layer 207, 208 (Para 0109, Para 0115-Para 0116, Para 0118, Para 0129);
a plurality of gaps e.g., space between 207 and 210 (left); space between 208 and 210 (right) respectively arranged in contact with the wiring layer 207, 208 between the plurality of light-emitting elements 50 and inner peripheral surfaces of the plurality of holes e.g., inner peripheral surface of 210 created by the space between adjacent 210 sections, wherein the plurality of gaps e.g., space between 207 and 210 (left); space between 208 and 210 (right) has a refractive index e.g., refractive index of air of approximately 1.0 lower than a refractive index e.g., refractive index of, e.g., GaN of first conductive semiconductor layer 25a of light emitting element is approximately 2.4 of the plurality of light-emitting elements 50 (Para 0094, Para 0096, Para 0102, Para 0108),
Examiner note: Examiner notes that Beng teaches that air has a refractive index of approximately 1.0 (Para 0070); and Ikeda discloses that GaN has a refractive index of approximately 2.4 (Para 0083).
Although Cha shows substantial features of the claimed invention, Cha fails to expressly teach a first light-transmissive member having a plurality of convex bodies respectively arranged on light extraction surfaces of the plurality of light-emitting elements inside the plurality of holes; and the plurality of convex bodies have convex outer peripheral surfaces that are in contact with the respective light extraction surfaces of the plurality of light-emitting elements.
Ukawa (see, e.g., FIG. 1C) teaches a first light-transmissive member 15, 35 having a plurality of convex bodies e.g., protruding surfaces projecting upward respectively arranged on light extraction surfaces e.g., top surfaces of 10, 30 of the plurality of light-emitting elements 10, 30, and the plurality of convex bodies e.g., protruding surfaces projecting upward have convex outer peripheral surfaces e.g., protruding surfaces projecting upward that are in contact e.g., indirect contact with the respective light extraction surfaces e.g., top surfaces of 10, 30 of the plurality of light-emitting elements 10, 30 for the purpose of preventing the light emitted from the light-emitting element to be reflected at the surface of the light transmissive member and returned to the light-emitting element (Para 0030, Para 0066, Para 0067).
The combination of Cha (see, e.g., FIG. 12C) / Ukawa (see, e.g., FIG. 1C) teaches the first light-transmissive member 15, 35 (as taught by Ukawa) having a plurality of convex bodies e.g., protruding surfaces projecting upward (as taught by Ukawa) respectively arranged on light extraction surfaces e.g., top surfaces of 50 (as taught by Cha) of the plurality of light-emitting elements 50 (as taught by Cha) inside the plurality of holes e.g., space between adjacent 210 sections (as taught by Cha).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to include the light transmissive member having a plurality of convex bodies as described by Ukawa to the light extraction surface of Cha for the purpose of preventing the light emitted from the light-emitting element to be reflected at the surface of the light transmissive member and returned to the light-emitting element (Para 0067).
Regarding claim 4, Ukawa (see, e.g., FIG. 1C) teaches the light-emitting module according to claim 1, wherein the first light-transmissive member 15, 35 comprises a wavelength conversion member 15, 35 (Para 0036).
Regarding claim 5, Ukawa (see, e.g., FIG. 1C) teaches the light-emitting module according to claim 4, wherein the plurality of convex bodies e.g., protruding surfaces of 15, 35 projecting upward comprise the wavelength conversion member 15, 35 (Para 0036).
Regarding claim 10, Cha (see, e.g., FIG. 12C) discloses a light-emitting module, comprising:
a substrate 201, 207, 208 comprising a support member 201 having a first surface e.g., top surface of 201 and a wiring layer 207, 208 arranged on the first surface e.g., top surface of 201 (Para 0104, Para 0128);
a light-shielding member 210 arranged on the first surface e.g., top surface of 201 and having a hole e.g., space between adjacent 210 sections in plan view (Para 0130);
a light-emitting element 50 arranged inside the hole e.g., space between adjacent 210 sections on the first surface e.g., top surface of 201 and electrically connected to the wiring layer 207, 208 (Para 0109, Para 0115, Para 0118, Para 0129);
a gap e.g., space between 207 and 210 (left); space between 208 and 210 (right) arranged in contact with the wiring layer 207, 208 between the light-emitting element 50 and an inner peripheral surface of the hole e.g., inner peripheral surface of 210 created by the space between adjacent 210 sections, wherein the gap e.g., space between 207 and 210 (left); space between 208 and 210 (right) has a refractive index e.g., refractive index of air of substantially 1.0 lower than a refractive index e.g., refractive index of GaN of first conductive semiconductor layer 25a of about 2.4 of the light-emitting element 50 (Para 0094, Para 0096, Para 0102, Para 0108),
Examiner note: Examiner notes that Beng teaches that air has a refractive index of approximately 1.0 (Para 0070); and Ikeda discloses that GaN has a refractive index of approximately 2.4 (Para 0083).
Although Cha shows substantial features of the claimed invention, Cha fails to expressly teach a first light-transmissive member having a convex body arranged on a light extraction surface of the light-emitting element inside the hole; and the convex body has a convex outer peripheral surface that is in contact with the light extraction surface of the light-emitting element.
Ukawa (see, e.g., FIG. 1C) teaches a first light-transmissive member 35 having a convex body e.g., curved surface projecting upward arranged on a light extraction surface e.g., top surface of 30 of the light-emitting element 30; and the convex body e.g., curved surface projecting upward has a convex outer peripheral surface e.g., curved surface that is in contact e.g., indirect contact with the light extraction surface e.g., top surface of 30 of the light-emitting element 30 for the purpose of preventing the light emitted from the light-emitting element to be reflected at the surface of the light transmissive member and returned to the light-emitting element (Para 0030, Para 0036, Para 0066, Para 0067).
The combination of Cha (see, e.g., FIG. 12C) / Ukawa (see, e.g., FIG. 1C) teaches the first light-transmissive member 35 (as taught by Ukawa) having a convex body e.g., protruding surfaces projecting upward (as taught by Ukawa) respectively arranged on light extraction surface e.g., top surface of 50 (as taught by Cha) of the light-emitting element 50 (as taught by Cha) inside the hole e.g., space between adjacent 210 sections (as taught by Cha).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to include the light transmissive member having a convex body as described by Ukawa to the light extraction surface of the light emitting element of Cha for the purpose of preventing the light emitted from the light-emitting element to be reflected at the surface of the light transmissive member and returned to the light-emitting element (Para 0067).
Regarding claim 11, Ukawa (see, e.g., FIG. 1C) teaches the light-emitting module according to claim 10, wherein the first light-transmissive member 35 comprises a wavelength conversion member (Para 0036).
Regarding claim 12, Ukawa (see, e.g., FIG. 1C) teaches the light-emitting module according to claim 10, wherein the convex body e.g., protruding surfaces of 35 projecting upward comprise the wavelength conversion member 35 (Para 0036).
Claim 9 is rejected under 35 U.S.C. 103 as being unpatentable over Cha (US 2017/0148771), in view of Ukawa (US 2020/0118982), in view of Beng (US 2025/0056936), in view of Ikeda (US 2022/0005865), and further in view of Imada (US 2019/0294005).
Regarding claim 9, although Cha/Ukawa show substantial features of the claimed invention, Cha/Ukawa fail to expressly teach that each of the plurality of light-emitting elements comprises a light-reflecting film arranged on a lateral surface located between the light extraction surface and an electrode formation surface located on an opposite side of each of the plurality of light-emitting elements from the light extraction surface.
Imada (see, e.g., FIG. 12C) teaches the light-emitting module according to claim 4, wherein each of the plurality of light-emitting elements 11 comprises a light-reflecting film 15A arranged on a lateral surface e.g., lateral surface of 11 located between the light extraction surface 11c and an electrode formation surface 11d located on an opposite side of each of the plurality of light-emitting elements 11 from the light extraction surface 11c for the purpose of improving the light emission efficiency of the light emitting module by reflecting light emitted in a direction toward the outer lateral surfaces of the light emitting element (Para 0038, Para 0069, Para 0074, Para 0076).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to include the light-reflecting film as described by Imada into the device of Cha/Ukawa for the purpose of improving the light emission efficiency of the light emitting module by reflecting light emitted in a direction toward the outer lateral surfaces of the light emitting element (Para 0076).
Allowable Subject Matter
Claims 13, 14, and 20 are allowed.
Response to Arguments
Applicant's arguments filed 03/30/2026 have been fully considered but they are not persuasive.
Applicant argues:
Applicant argues that “that Imada et al. does not disclose a plurality of gaps respectively arranged in contact with the wiring layer between the plurality of light-emitting elements and inner peripheral surfaces of the plurality of holes, wherein the plurality of gaps has a refractive index lower than a refractive index of the plurality of light-emitting elements, as recited in independent claim 1. Firstly, as noted above, the Office Action cites space filled by first encapsulating resin (15A) of Imada et al. for the recited gaps. However, the Applicant notes that the first encapsulating resin (15A) fills the space, and therefore no gaps are present. The Applicant submits that citing the first encapsulating resin (15A) as a gap is an improper interpretation of such a term. Such an interpretation is beyond the scope of the broadest reasonable interpretation.
Examiner responds:
The Examiner respectfully disagrees. The space occupied by 15A between the light emitting element 11 and the second encapsulating resin 15B on left side of the light emitting element 11 and the space occupied by 15A between the light emitting element 11 and the second encapsulating resin 15B on right side of light emitting element 11 has been designated as gaps. The claimed invention does not preclude the gaps from being filled with a optical medium having a refractive index.
Applicant argues:
Applicant argues that Imada et al. does not disclose the plurality of convex bodies have convex outer peripheral surfaces that are in contact with the respective light extraction surfaces of the plurality of light-emitting elements, as recited in independent claim 1. It is noted that the plurality of convex bodies are recited as being part of the first light-transmissive member. Further, it is noted that inverted cones cited for the recited plurality of convex bodies appear to be optically functional portions (1a) in light guiding plate (1). The Applicant further notes that light adjustment portion (10) including wavelength conversion portion (12) and light diffusion portion (13) are provided in between the light emitting element (11) and the light guiding plate (1) having optically functional portions (1a). Accordingly, the light emitting element (11) of Imada et al. is not in contact with any portion of light guiding plate (1) including optically functional portions (1a). Thus, Imada et al. does not disclose the plurality of convex bodies have convex outer peripheral surfaces that are in contact with the respective light extraction surfaces of the plurality of light-emitting elements, as recited in independent claim 1.
Examiner responds:
The Examiner respectfully disagrees. The plurality of convex bodies has convex outer peripheral surfaces are in contact e.g., indirect contact with the respective light extraction surfaces of the plurality of light-emitting elements.
Applicant argues:
Applicant argues that The Applicant submits that Cha et al. in view of Ukawa et al. do not disclose or suggest the plurality of convex bodies have convex outer peripheral surfaces that are in contact with the respective light extraction surfaces of the plurality of light-emitting elements, as recited in independent claim 1. The first light-transmissive member (15)/second light-transmissive member (25)/third light-transmissive member (35) have convex outer peripheral surfaces that are protruding upwards away from first light-emitting element (10), second light-emitting element (20), and third light-emitting element (30). Thus, Ukawa et al. does not disclose or suggest the plurality of convex bodies have convex outer peripheral surfaces that are in contact with the respective light extraction surfaces of the plurality of light-emitting elements, as recited in independent claim 1, or the convex body has a convex outer peripheral surface that is in contact with the light extraction surface of the light-emitting element, as recited in independent claim 10.
Examiner responds:
Examiner disrespectfully disagrees. Ukawa et al. teaches that the convex body has a convex outer peripheral surface that is in contact e.g., indirect contact with the light extraction surface of the light-emitting element, as is recited in independent claim 1.
Applicant argues:
Applicant argues that Applicant argues that The Applicant submits that Cha et al. in view of Ukawa et al. do not disclose or suggest the convex body has a convex outer peripheral surface that is in contact with the light extraction surface of the light-emitting element, as recited in independent claim 10. The first light-transmissive member (15)/second light-transmissive member (25)/third light-transmissive member (35) have convex outer peripheral surfaces that are protruding upwards away from first light-emitting element (10), second light-emitting element (20), and third light-emitting element (30). Thus, Ukawa et al. does not disclose or suggest the convex body has a convex outer peripheral surface that is in contact with the light extraction surface of the light-emitting element, as recited in independent claim 10.
Examiner responds:
The Examiner respectfully disagrees. Ukawa et al. teaches that the convex body has a convex outer peripheral surface that is in contact e.g., indirect contact with the light extraction surface of the light-emitting element, as is recited in independent claim 1.
Conclusion
Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). 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 ANTONIO CRITE whose telephone number is (571) 270-5267. The examiner can normally be reached Monday - Friday, 10:00 am - 6:30 pm.
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, Kretelia Graham can be reached at (571) 272-5055. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/ANTONIO B CRITE/Primary Examiner, Art Unit 2817
Prosecution Insights