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 .
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale or otherwise available to the public before the effective filing date of the claimed invention.
Claims 1-3, 5-7, 9, 11-19 and 21 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Armitage et al. (Pub. No.: US 2019/0393379 A1).
Regarding Claim 1, Armitage et al. discloses
an all-nitride-based epitaxial and chip structure, comprising: an N-type semiconductor layer (302 (Fig. 4F – upper first epitaxial layer) or 310 (Fig. 3 – second epitaxial layer)), a P-type semiconductor layer (208), an electroluminescent (EL) multiple quantum wells (MQWs) region (210 (Figs. 3 & 4F)/214 (Fig. 2C), and a first photoluminescent (PL) multiple quantum wells (MQWs) region (206) stacked on a main surface
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of a substrate (202), wherein the N-type semiconductor layer (302/310) and the P-type semiconductor layer (208) are disposed on two sides of the EL MQWs region (210/214) respectively (Par. 0038-0040, 0053-0054, 0057-0075; Fig. 4F together with Figs. 2C & 3); holes from the P-type semiconductor layer (208) and electrons from the N-type semiconductor layer (302/310) recombine in the EL MQWs region (210/214), generating first-color light by an EL method (Par. 0053-0054, 0057-0075; Fig. 4F together with Figs. 2C & 3); the first-color light is further transmitted to the first PL MQWs region (206) where second-color light is generated by a PL method (Par. 0053-0054, 0057-0075; Fig. 4F together with Figs. 2C & 3); wherein the thickness of the EL MQWs region is configured in a way that holes from the P-type semiconductor layer have no capability of reaching the first PL MQWs region (Par. 0044, 0059-0063; Fig. 4F together with Figs. 2C & 3. – implied; firstly, the essence of the invention is that electrons and holes are made to recombine in the EL MQWs to emit a short wavelength light; this light then travels to the first PL MQWs and gets absorbed there and is converted to a desired longer wavelength light; as the name implies, EL MQWs are designed such that holes that come from the P-type semiconductor layer and electrons that come from the N side are made to recombine there; if many of the holes slip through the EL MQWs unrecombined, that would defeat the purpose; the very reason the MQWs are employed is so that a very high % of holes would get trapped in the EL QWs and recombine with the electrons in the ELMQWs; secondly, also as the name implies PL MQWs are not meant for EL emission but for PL emission; if EL emission is allowed in the PL MQWs that would also defeat the purpose for which it has been designed; thirdly, theoretically it would work if blue EL MQWs and green EL MQWs could be stacked on each other and light from the two LEDs are then mixed to give the desired white light; however, the problem that makes it difficult to implement is that the green EL MQWs suffer from so called efficiency droop phenomena (Par, 0037) and hence there is no reason to have a PL MQWs and then make it act like a EL MQWs; this will amount to knowingly designing an inefficient system; this prior art explains “… photoluminescence (PL) of green InGaN multi-quantum wells (MQWs) excited by absorption of shorter wavelength photons may be more efficient than the electroluminescence (EL) excited by electrical injection the same MQWs sandwiched in a p-n junction. This may be explained at least in part by a more even distribution of carriers between the MQWs when carriers are generated by optical absorption instead of electrical injection. The efficiency droop in EL applications may be exacerbated by an uneven distribution of carriers among the MQWs resulting from differences in the electrical transport behavior of holes and electrons. Using the PL from green MQWs excited by absorption of the EL of a shorter wavelength may be a promising method to improve the efficiency of high-radiance green LEDs. This concept may also benefit from the typically lower operating voltage of blue or near-ultraviolet LEDs compared to state-of-the-art electrically-injected green LEDs” (Par. 0038); fourthly, this prior art teaches the first PL MQWs region is placed outside the depletion region of the p-n junction, making it even harder for any holes that might still have slipped through (there will always be some statistical possibilities) the EL MQWs region to reach the first PL MQWs region especially since it has to first survive moving through the highly n-doped layer 204; in short, the chances of holes reaching PL MQWs is almost non-existent).
Regarding Claim 2, Armitage et al., as applied to claim 1, discloses
the epitaxial and chip structure, further comprising a P-type electrode (402) , wherein the P-type electrode is disposed on a side of the P-type semiconductor layer (208) away from the EL MQWs region (210/214) (Par. 0078-0088; Fig. 4F together with Figs. 2C & 3); the P-type electrode (402) is a reflective electrode with/without a conductive reflection layer underneath (Par. 0078-0088; Fig. 4F together with Figs. 2C & 3).
Regarding Claim 3, Armitage et al., as applied to claim 1, discloses
the epitaxial and chip structure, wherein the holes from the P-type semiconductor layer are configured not to reach the first PL MQWs region (Par. 0061; Fig. 4F together with Figs. 2C & 3. - implied).
Regarding Claim 5, Armitage et al., as applied to claim 3, discloses
the epitaxial and chip structure, comprising a separation layer (204) disposed between the EL MQWs region (210/214) and the first PL MQWs region (206), wherein the separation layer is configured to block the holes from the P-type semiconductor layer from reaching the first PL MQWs region (Par. 0061; Fig. 4F together with Figs. 2C & 3. – implied; see the rejection of claim 1 for explanation).
Regarding Claim 6, Armitage et al., as applied to claim 5, discloses
the epitaxial and chip structure, wherein the separation layer is an N-type semiconductor material (Par. 0061; Fig. 4F together with Figs. 2C & 3).
Regarding Claim 7, Armitage et al., as applied to claim 1, discloses
the epitaxial and chip structure, wherein the EL MQWs region (210/214) and the first PL MQWs region (206) are sandwiched between the N-type semiconductor layer (302/310) and the P-type semiconductor layer (208) (Par. 0053-0054, 0057-0075; Fig. 4F together with Figs. 2C & 3).
Regarding Claim 9, Armitage et al., as applied to claim 1, discloses
the epitaxial and chip structure, wherein the EL MQWs region (210/214) and the first PL MQWs region (206) comprises quantum wells of InGaN or InGaAlN respectively; the In content in the quantum wells of the EL MQWs region is less than that of the first PL MQWs region (Par. 0058-0060; Fig. 4F together with Figs. 2C & 3).
Regarding Claim 11, Armitage et al., as applied to claim 1, discloses
the epitaxial and chip structure, further comprising a spectral-reflection enhancement structure (304), wherein the spectral-reflection enhancement structure is disposed on a side of the first PL MQWs region (206) away from the EL MQWs region (210/214); the spectral- reflection enhancement structure (304) is configured to reflect the first-color light that is not absorbed by the first PL MQWs region back into the first PL MQWs region, and meantime to allow the second- color light to pass through the spectral-reflection enhancement structure (Par. 0067; Fig. 4F together with Figs. 2C & 3).
Regarding Claim 12, Armitage et al., as applied to claim 1, discloses
the epitaxial and chip structure, wherein the first PL MQWs region is configured to convert a portion of the first-color light into the second-color light; and the second-color light is further mixed with the remaining portion of the first-color light forming a third-color light (Par. 0058-0067; Fig. 4F together with Figs. 2C & 3).
Regarding Claim 13, Armitage et al., as applied to claim 2, discloses
the epitaxial and chip structure, further comprising a second PL MQWs region (212), wherein the first-color light and/or the second-color light is/are transmitted to the second PL MQWs region, generating the third-color light by the PL method; the reflective electrode or the conductive reflection layer is configured to reflect the second-color light and/or the third-color light (Par. 0058-0067; Fig. 2C - third color light, for example, is a red color light; second color light, for example, is a green color light; and first color light, for example, is a blue color light).
Regarding Claim 14, Armitage et al., as applied to claim 13, discloses the epitaxial and chip structure, wherein the second PL MQWs region (212) and the first PL MQWs region (206) are disposed on a side of the EL MQWs region (214); or the second PL MQWs region and the first PL MQWs region are disposed on the two sides of the EL MQWs region respectively (Fig. 2C).
Regarding Claim 15, Armitage et al., as applied to claim 14, discloses the epitaxial and chip structure, wherein wavelengths of the first-color light are in a range of 360nm-460nm (Par. 0058-0067; Fig. 2C).
Regarding Claim 16, Armitage et al., as applied to claim 14, discloses the epitaxial and chip structure, wherein the wavelengths of the first-color light are in a range of 360nm-420nm, and wavelengths of the second-color light are in a range of 420nm-480nm; or the wavelengths of the first-color light are in a range of 420nm-480nm, and the wavelengths of the second-color light are in a range of 490nm-550nm; or the wavelengths of the first-color light are in a range of 490nm-550nm, and the wavelengths of the second-color light are in a range of 560nm-650nm . (Par. 0058-0067; Fig. 2C).
Regarding Claim 17, Armitage et al., as applied to claim 1, discloses the epitaxial and chip structure, comprising a normal face- up structure, a flip-chip structure, a vertical chip structure, or a thin film structure with the substrate removed (Par. 0094; Fig. 4F).
Regarding Claim 18, Armitage et al., as applied to claim 1, discloses the epitaxial and chip structure, further comprising a N- type electrode (406), wherein the N-type electrode is disposed on a side of the N-type semiconductor layer (302/310) away from the substrate (202) (Par. 0080; Fig. 4F and/or 6A).
Regarding Claim 19, Armitage et al., as applied to claim 1, discloses the epitaxial and chip structure, wherein the spectral- reflection enhancement structure is made of a reflector or a reflective film (Par. 0067).
Regarding Claim 21, Armitage et al., as applied to claim 1, discloses the epitaxial and chip structure, wherein the EL MQWs region is disposed between the P-type semiconductor layer and the first PL MQWs region (see annotated Fig. 4F below).
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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 of this title, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries set forth in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), that are applied 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.
Claim 20 is rejected under 35 U.S.C. 103 as obvious over Armitage et al. (Pub. No.: US 2019/0393379 A1) in view of Lee (Pub. No.: US 2017/0018679 A1).
Regarding Claim 20, Armitage et al. discloses
a light-emitting device, comprising an epitaxial and chip structure comprising: an N-type semiconductor layer (302 (Fig. 4F – upper first epitaxial layer) or 310 (Fig. 3 – second epitaxial layer)), a P-type semiconductor layer (208), an EL MQWs region (210 (Figs. 3 & 4F)/214 (Fig. 2C), and a PL MQWs region (206) stacked on a main surface of a substrate (202) (Par. 0038-0041, 0062-0063; Fig. 6); wherein the N-type semiconductor layer (302/310) and the P-type semiconductor layer (208) are disposed on two sides of the EL MQWs region (210/214) respectively (Par. 0038-0040, 0053-0054, 0057-0075; Fig. 4F together with Figs. 2C & 3);
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holes from the P-type semiconductor layer (208) and electrons from the N-type semiconductor layer (302/310) recombine in the EL MQWs region (210/214), generating first-color light by an EL method (Par. 0053-0054, 0057-0075; Fig. 4F together with Figs. 2C & 3); the first-color light is further transmitted to the first PL MQWs region (206) where second-color light is generated by a PL method ((Par. 0044, 0059-0063; Fig. 4F together with Figs. 2C & 3. – implied; firstly, the essence of the invention is that electrons and holes are made to recombine in the EL MQWs to emit a short wavelength light; this light then travels to the first PL MQWs and gets absorbed there and is converted to a desired longer wavelength light; as the name implies, EL MQWs are designed such that holes that come from the P-type semiconductor layer and electrons that come from the N side are made to recombine there; if many of the holes slip through the EL MQWs unrecombined, that would defeat the purpose; the very reason the MQWs are employed is so that a very high % of holes would get trapped in the EL QWs and recombine with the electrons in the ELMQWs; secondly, also as the name implies PL MQWs are not meant for EL emission but for PL emission; if EL emission is allowed in the PL MQWs that would also defeat the purpose for which it has been designed; thirdly, theoretically it would work if blue EL MQWs and green EL MQWs could be stacked on each other and light from the two LEDs are then mixed to give the desired white light; however, the problem that makes it difficult to implement is that the green EL MQWs suffer from so called efficiency droop phenomena (Par, 0037) and hence there is no reason to have a PL MQWs and then make it act like a EL MQWs; this will amount to knowingly designing an inefficient system; this prior art explains “… photoluminescence (PL) of green InGaN multi-quantum wells (MQWs) excited by absorption of shorter wavelength photons may be more efficient than the electroluminescence (EL) excited by electrical injection the same MQWs sandwiched in a p-n junction. This may be explained at least in part by a more even distribution of carriers between the MQWs when carriers are generated by optical absorption instead of electrical injection. The efficiency droop in EL applications may be exacerbated by an uneven distribution of carriers among the MQWs resulting from differences in the electrical transport behavior of holes and electrons. Using the PL from green MQWs excited by absorption of the EL of a shorter wavelength may be a promising method to improve the efficiency of high-radiance green LEDs. This concept may also benefit from the typically lower operating voltage of blue or near-ultraviolet LEDs compared to state-of-the-art electrically-injected green LEDs” (Par. 0038); fourthly, this prior art teaches the first PL MQWs region is placed outside the depletion region of the p-n junction, making it even harder for any holes that might still have slipped through (there will always be some statistical possibilities) the EL MQWs region to reach the first PL MQWs region especially since it has to first survive moving through the highly n-doped layer 204; in short, the chances of holes reaching PL MQWs is almost non-existent). Armitage et al. does not disclose a phosphor; wherein the phosphor is disposed on a light-emitting surface of the epitaxial and chip structure; the first-color light and/or the second-color light are transmitted to the phosphor where another color light is generated.
However, Lee teaches
a phosphor (Par. 0038, 0062-0063; Fig. 6 – phosphor 112f); wherein the phosphor is disposed on a light-emitting surface of the epitaxial and chip structure (Fig. 6); the first-color light and/or the second-color light are transmitted to the phosphor where another color light is generated (Par. 0038, 0062-0063; Fig. 6). In short, Armitage et al. describes at least two embodiments, a light emitting device so configured that i) only light of single color is extracted (extraction of EL wavelength completely suppressed); or ii) white light is produced without use of phosphors (extraction of EL wavelength only partially suppressed and EL wavelength and PL wavelength combined to produce the white light) (Par. 0043). Armitage et al. states “ … techniques described above may be used in white LEDs with small form factors that do not include an external phosphor conversion material. These LEDs may find applications in smart automotive headlights and other products that use beam-steering technology based on LED arrays” (emphasis added). Lee, also teaches a few embodiments, e.g., i) a single LED chip designed to emit multiple colors of light by sequentially stacking multiple EL MQWs on a substrate – this embodiment does not employ any phosphors (Figs. 1-2); ii) phosphors (wavelength conversion layer) are employed on top of a single LED chip designed to emit multiple colors of light by sequentially stacking multiple EL MQWs on a substrate (Figs. 3-4); iii) a single LED chip designed to emit multiple colors of light by sequentially stacking EL MQWs and PL MQWs on a substrate – this embodiment does not employ any phosphors (Fig. 5); and iv) phosphors (wavelength conversion layer) are employed on top of a single LED chip designed to emit multiple colors of light by sequentially stacking EL MQWs and PL MQWs on a substrate (Figs. 6). This prior art teaches that white light can thus be achieved with or without employing any phosphors. It details the pros and cons of using phosphors – it can simplify the overall process but makes data transmission rate slower. Clearly, whether phosphor will be used or not will depend on the specific application wherein it will be used. It would have been obvious to one having ordinary skill in the art at the time the invention was filed to use the teachings of Lee. to adapt a light-emitting device, comprising an epitaxial and chip structure comprising: a phosphor; wherein the phosphor is disposed on a light-emitting surface of the epitaxial and chip structure of Armitage et al.; the first-color light and/or the second-color light are transmitted to the phosphor where another color light is generated in order to design a white light LED device for an application which can tolerate a little bit lower bandwidth but would be benefited by the lower cost and simplicity of making it.
Response to Arguments
Applicants’ arguments filed on 04/20/2026 have been fully considered but they are either not found to be persuasive (please see the rejections for detailed explanation) or are moot because of the new grounds of rejection necessitated by amendments made to the claims.
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any extension fee 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.
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06/20/2026
/SYED I GHEYAS/Primary Examiner, Art Unit 2893
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