DETAILED ACTION
This action is responsive to the amendment received on 09/01/2026.
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 .
Election/Restrictions
Applicant’s election without traverse of species D in the reply filed on 04/20/2026 is acknowledged. Claim(s) 6-7 and 10 is/are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected species, there being no allowable generic or linking claim.
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim(s) 1, 3, and 22-25 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”).
Regarding Claim 1. Kim discloses A light emitting diode (Figures 1f and 1g where 1g is a cross-section of 1f, DHIP LED (direct hole injection plug light emitting diode)) comprising:
a base structure including a first cladding layer doped with a first dopant type (Figure 1g, n-GaN base layer doped to be n-type);
a pillar structure protruding from the base structure (Figures 1f and 1g, everything above n-GaN), the pillar structure comprising:
a mesa structure including mesa exterior sidewalls (Figures 1f and 1g, MQW structure including sidewalls in Figure 1f), a center cavity including cavity sidewalls between the mesa exterior sidewalls (Figures 1f and 1g, central cavity in the MQW where DHIP is formed which is between the exterior sidewalls), and an active layer that includes a plurality of quantum well layers that extend laterally across the mesa structure between the cavity sidewalls and mesa exterior sidewalls (Figures 1f and 1g, multiple quantum wells MQW which extend laterally across the MQW structure between the cavity where DHIP is located and the sidewalls of the device); and
a second cladding layer doped with a second dopant type opposite the first dopant type (Figures 1f and 1g, p-GaN layer and DHIP structure made of p-Gan according to page 4, “holes are selectively filled by p-GaN epitaxy using the same condition for planar p-GaN”), wherein the second cladding layer includes a cap portion that wraps across the mesa structure (Figures 1f and 1g, planar p-GaN layer wrapping across the MQW structure) and a plug portion that extends into the center cavity of the mesa structure where the plug portion shares the cavity sidewalls (Figures 1f and 1g, DHIP structure which extends into the central cavity and shares the cavity sidewalls of the MQW structure), is completely laterally surrounded by the active layer of the mesa structure and is laterally adjacent to the plurality of quantum well layers of the mesa structure (Figures 1f and 1g, page 4, the DHIP structures are formed in holes in the MQW structure such that they are completely laterally surrounded by the multiple quantum wells at their bottom portions and are laterally adjacent to the quantum wells).
Regarding Claim 3. Kim discloses The light emitting diode of claim 1, further comprising pillar sidewalls spanning the mesa exterior sidewalls and sidewalls of the cap portion of the second cladding layer (Figure 1f, everything above n-GaN including the MQW structure and the p-GaN planar layer shares exterior sidewalls).
Regarding Claim 22. Kim discloses The light emitting diode of claim 1, wherein the first dopant type is n-type (Figure 1g, the first dopant type in the n-GaN layer is n-type).
Regarding Claim 23. Kim discloses The light emitting diode of claim 22, wherein the first cladding layer comprises GaN (Figure 1g, the bottom planar n-GaN layer comprises GaN).
Regarding Claim 24. Kim discloses The light emitting diode of claim 23, wherein the second cladding layer comprises GaN (Figure 1g, the top planar p-GaN layer comprises GaN).
Regarding Claim 25. Kim discloses The light emitting diode of claim 23, wherein the plurality of quantum well layers comprises InGaN quantum well layers (Figure 1a, page 4, “four pairs of InGaN/GaN (thickness = 3 nm/12 nm) MQW”, i.e. the quantum well layers comprise InGaN quantum well layers).
Claim Rejections - 35 USC § 103
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
Claim(s) 4-5 is/are rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 3 above, and further in view of US 2023/0110324 A1; David et al.; 04/2023; (“David”).
Regarding Claim 4. Kim discloses The light emitting diode of claim 3.
Kim does not disclose an insulation layer spanning the pillar sidewalls and across the cap portion.
However, David teaches A light emitting diode (#700, Figure 7, microLED) including a first cladding layer doped with a first dopant type (Figure 7, not numbered section between the MQW #730 and the growth interface #710, described for Figure 5 in [0094] as #520, an n-type region) and a pillar structure protruding from the base structure (Figure 7, structure which protrudes from the non-numbered portion between adjacent #715s) comprising a mesa structure (Figure 7, the protruding portion is a mesa) including an active layer that includes a plurality of quantum well layers (#730, Figure 7, MQW active area) and a second cladding layer doped with a second dopant type opposite the first dopant type (#725, Figure 7, p-type GaN layer), wherein the second cladding layer includes a cap portion that wraps across the mesa structure (Figure 7, #725 includes a cap portion that wraps across the protruding mesa and MQW active layer portion) and a plug portion laterally adjacent the plurality of quantum well layers of the mesa structure (Figure 7, V-shaped pit portion of #725 observed to extend into the MQW active area), and an insulation layer spanning the pillar sidewalls and across the cap portion (#745, Figure 7, transparent insulating material spanning the sidewalls of the protruding pillar and mesa structures and the cap portion of #725).
It would have been obvious to one of ordinary skill in the art prior to the effective filing date of the claimed invention to consider providing the insulating layer of David across the sidewalls of the pillar and cap portions of the LED in Kim in order to ensure proper contact positioning and control vertical hole injection into the p-type layer, including the central V-shaped pit region, leading to lateral injection into the MQW at the point of the plug (see [0097] and arrows in Figure 7 of David).
Regarding Claim 5. Kim in view of David discloses The light emitting diode of claim 4, further comprising a contact opening in the insulation layer adjacent to the cap portion, and a contact layer within the contact opening (David, Figure 7, #735, p-type contact located in a contact opening in #745, which is adjacent to the cap portion of #745, to make electrical contact with the cap portion of #725; Kim’s Figure 1 also includes an ITO contact layer on the cap portion of the p-GaN planar layer).
Claim(s) 8 and 21 is/are rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 1 above, and further in view of US 2020/0035860 A1; Michiue, Atsuo; 01/2020; (“Michiue”).
Regarding Claim 8. Kim discloses The light emitting diode of claim 1.
Kim does not disclose that the center cavity includes primarily m-plane cavity sidewalls of Wurtzite crystal structure.
However, Michiue teaches A light emitting diode (#5, Figure 3A, rod-shaped light emitting portion where Figure 4 is the B-B cross section top view) including a base structure first cladding layer doped with a first dopant type (#30, Figure 3A, [0046], #30 is first conductivity type nitride semiconductor layer) and a pillar structure protruding from the base structure (Figure 3A, pillars which protrude from #30 in a downward direction including #20 and #10) comprising a mesa structure (Figure 3A, portions of #10 and #20 forming a mesa) including an active layer (#20, Figure 3A, active layer) that includes a plurality of quantum well layers ([0043], the active layer #20 may include a plurality of quantum well layers) and a second cladding layer doped with a second dopant type opposite the first dopant type (#10, Figure 3A, [0046], opposing conductivity type nitride semiconductor layer), wherein the second cladding layer includes a cap portion that wraps across the mesa structure (Figure 3A, bottom portion of #10 which may be interpreted as partially wrapped across the bottom of the mesa structure) and a plug portion laterally adjacent the plurality of quantum well layers of the mesa structure (Figure 3A, portion of #10 which extends into the mesa structure and is laterally adjacent to #20), wherein the center cavity includes primarily m-plane cavity sidewalls of Wurtzite crystal structure (Figure 4, [0047], “the side surface 10c of the semiconductor rod 10 (see FIGS. 3A and 4) corresponds to the M-plane of the crystal. In other words, each side surface 10c of the semiconductor rod 10 is the M-plane of the wurtzite-type crystal”, i.e. all of the lateral sidewalls of #10 are hexagonal m-plane sidewalls within the cavity which has matching opposing m-plane sidewalls).
It would have been obvious to one of ordinary skill in the art prior to the effective filing date of the claimed invention to consider forming the cavity in which the DHIP structure is formed in Kim to have primarily m-plane sidewalls of a Wurtzite crystal structure, as was done in Michiue, in order to form a hexagonal rod shape plug portion with a high aspect ratio for the center plug structure by suppressing lateral growth while encouraging vertical growth with the indicated m-plane sidewall structure ([0047] of Michiue) and also allowing for constant growth rate of structures on the side surfaces of the cavity ([0065] of Michiue).
Regarding Claim 21. Kim discloses The light emitting diode of claim 1.
Kim does not disclose that the cavity sidewalls are m-plane cavity sidewalls of Wurtzite crystal structure.
However, Michiue teaches A light emitting diode (#5, Figure 3A, rod-shaped light emitting portion where Figure 4 is the B-B cross section top view) including a base structure first cladding layer doped with a first dopant type (#30, Figure 3A, [0046], #30 is first conductivity type nitride semiconductor layer) and a pillar structure protruding from the base structure (Figure 3A, pillars which protrude from #30 in a downward direction including #20 and #10) comprising a mesa structure (Figure 3A, portions of #10 and #20 forming a mesa) including an active layer (#20, Figure 3A, active layer) that includes a plurality of quantum well layers ([0043], the active layer #20 may include a plurality of quantum well layers) and a second cladding layer doped with a second dopant type opposite the first dopant type (#10, Figure 3A, [0046], opposing conductivity type nitride semiconductor layer), wherein the second cladding layer includes a cap portion that wraps across the mesa structure (Figure 3A, bottom portion of #10 which may be interpreted as partially wrapped across the bottom of the mesa structure) and a plug portion laterally adjacent the plurality of quantum well layers of the mesa structure (Figure 3A, portion of #10 which extends into the mesa structure and is laterally adjacent to #20), wherein the center cavity includes primarily m-plane cavity sidewalls of Wurtzite crystal structure (Figure 4, [0047], “the side surface 10c of the semiconductor rod 10 (see FIGS. 3A and 4) corresponds to the M-plane of the crystal. In other words, each side surface 10c of the semiconductor rod 10 is the M-plane of the wurtzite-type crystal”, i.e. all of the lateral sidewalls of #10 are hexagonal m-plane sidewalls within the cavity which has matching opposing m-plane sidewalls).
It would have been obvious to one of ordinary skill in the art prior to the effective filing date of the claimed invention to consider forming the cavity in which the DHIP structure is formed in Kim to have primarily m-plane sidewalls of a Wurtzite crystal structure, as was done in Michiue, in order to form a hexagonal rod shape plug portion with a high aspect ratio for the center plug structure by suppressing lateral growth while encouraging vertical growth with the indicated m-plane sidewall structure ([0047] of Michiue) and also allowing for constant growth rate of structures on the side surfaces of the cavity ([0065] of Michiue).
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) in view of US 2020/0035860 A1; Michiue, Atsuo; 01/2020; (“Michiue”), as applied to claim 8 above, and further in view of US 2013/0087780 A1; Chiou, Yu-Zung; 04/2013; (“Chiou”).
Regarding Claim 9. Kim in view of Michiue discloses The light emitting diode of claim 8.
Kim in view of Michiue do not disclose that the mesa exterior sidewalls are a combination of m-plane sidewalls of Wurtzite crystal structure and a-plane sidewalls of Wurtzite crystal structure. However, Michiue does teach that the exterior sidewalls of the mesa structure may include m-plane sidewalls as part of the sidewalls on the exterior of the mesa (Figures 3A and 4, portions of #10 and #20 forming a mesa where the exterior sidewalls of #20 also have the m-plane hexagonal sidewalls).
Furthermore, Chiou teaches in [0022] and Figure 3 that through epitaxial growth of a group III nitride semiconductor LED, the sidewalls of the device may have an M-plane or an A-plane of a hexagonal Wurtzite crystal structure.
It would have been obvious to one of ordinary skill in the art prior to the effective filing date of the claimed invention to consider providing exterior sidewalls of both a-planes and m-planes of a Wurtzite crystal structure as taught by Chiou in the device of Kim in view of Michiue since this results in a reduction of the spontaneous polarization effect and allows for more even distribution of charges in the light emitting layer and reduces external quantum efficiency droops at higher current densities (see [0022] of Chiou). The combination of m-planes and a-planes is interpreted by the examiner as combining equivalents known for the same purpose (see MPEP 2144.06.I) since both m-planes and a-planes are equivalently taught by the prior art (Chiou) as improving device functionality by reducing spontaneous polarization and it is prima facie obvious to combine two features taught by the prior art to be useful for the same purpose, in order to form a third feature to be used for the very same purpose.
Claim(s) 26-31 is/are rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 1 above, and further in view of Hole Transport in Ultraviolet Light-Emitting Diode via p-Type Injection Channel; Mondal et al.; 05/2021; (“Mondal”).
Regarding Claim 26. Kim discloses The light emitting diode of claim 1, wherein the plug portion of the second cladding layer is completely laterally surrounded by the second cladding layer (Figures 1f and 1g, the DHIP structure is completely laterally surrounded at its middle section by the p-GaN planar layer).
Kim does not disclose that the mesa structure includes a buried cladding layer between the active layer and the cap portion of the second cladding layer.
However, Mondal teaches a light emitting diode (Figure 1b, AlGaN based DUV LEDs) comprising a first base cladding layer base (n-AlGaN, Figure 1) and a pillar structure including a multi-quantum well active layer (QW/QB alternating AlGaN structure, Figure 1) and a second cladding layer (Figure 1, p-GaN layer) including a cap structure across the pillar and a plug that extends into the multi-quantum well structure (see Figure 1b), wherein the mesa structure includes a buried cladding layer between the active layer and the cap portion of the second cladding layer (Figure 1b, p-AlGaN layer located between the active MQW structure and the cap portion of the p-GaN layer).
It would have been obvious to one of ordinary skill in the art prior to the effective filing date of the claimed invention to consider providing the p-AlGaN buried cladding layer of Mondal in the device of Kim between the active layer and the p-type cap layer as an electron blocking layer for the LED structure (see pages 1-2 of Mondal) which is known to prevent electron/hole recombination from occurring outside of the active region of an LED by keeping electrons in the active layer.
Regarding Claim 27. Kim in view of Mondal discloses The light emitting diode of claim 26, wherein the buried cladding layer is doped with the second dopant type (Mondal, Figure 1, AlGaN buried cladding layer is p-type).
Regarding Claim 28. Kim in view of Mondal discloses The light emitting diode of claim 26, further comprising pillar sidewalls spanning the mesa exterior sidewalls, sidewalls of the cap portion of the second cladding layer, and sidewalls of the buried cladding layer (Mondal, Figure 1, the sidewalls of the pillar structure span the mesa MQW active layer exterior sidewalls, the sidewalls of the p-GaN cap portion, and the sidewalls of the p-AlGaN buried layer).
Regarding Claim 29. Kim in view of Mondal discloses The light emitting diode of claim 26, further comprising a contact layer on the cap portion of the second cladding layer (Kim, Figure 1f and 1g, ITO metal contact layer located on the planar p-GaN cap portion).
Regarding Claim 30. Kim in view of Mondal discloses The light emitting diode of claim 29, wherein the contact layer comprises a conductive oxide (Kim, Figure 1f and 1g, ITO metal contact layer located on the planar p-GaN cap portion).
Regarding Claim 31. Kim in view of Mondal discloses The light emitting diode of claim 30, further comprising pillar sidewalls spanning the mesa exterior sidewalls, sidewalls of the cap portion of the second cladding layer, sidewalls of the buried cladding layer, and sidewalls of the contact layer (Kim Figure 1 in view of Mondal Figure 1, providing the buried cladding layer as motivated by Mondal in claim 26 would necessarily result in the sidewalls of the pillar structures spanning the mesa MQW active layer exterior sidewalls (Kim and Mondal), the sidewalls of the p-GaN cap portion (Kim and Mondal), the sidewalls of the p-AlGaN buried layer (Mondal), and the sidewalls of the ITO contact (Kim) as a single continuous pillar structure).
Response to Amendment/Arguments
Applicant’s arguments, see page 5 of the remarks, filed 09/01/2026, with respect to the 35 U.S.C. 112(b) rejection of claims 8 and 9 have been fully considered and are persuasive. The term primarily has been interpreted herein to mean greater than 50% or the majority and is no longer interpreted as indefinite. The 35 U.S.C. 112(b) rejection of claims 8 and 9 have been withdrawn.
Applicant’s amendments to claim 1 and corresponding arguments, see pages 5-7 of the remarks, filed 09/01/2026, with respect to the previous 35 U.S.C. 102 rejection of claim 1 and 35 U.S.C. 102 and/or 103 rejections of all dependent claims have been fully considered and are persuasive. The previously cited prior art does not disclose all of the limitations of amended claim 1 and the previous 35 U.S.C. 102 rejection of claim 1 has been withdrawn. However, in view of the amendments and with further search and consideration, one of the references previously considered but not relied upon has been found to read on amended claim 1.
InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) discloses all of the limitations of amended claim 1 as described above. In particular with regard to the amendments, Kim discloses a light emitting diode including a mesa structure including mesa exterior sidewalls (Figures 1f and 1g, MQW structure including sidewall in Figure 1f), a center cavity including cavity sidewalls between the mesa exterior sidewalls (Figures 1f and 1g, central cavity in the MQW where DHIP is formed which is between the exterior sidewalls), and an active layer that includes a plurality of quantum well layers that extend laterally across the mesa structure between the cavity sidewalls and mesa exterior sidewalls (Figures 1f and 1g, multiple quantum wells MQW which extend laterally across the MQW structure between the cavity where DHIP is located and the sidewalls of the device); and a second cladding layer doped with a second dopant type opposite the first dopant type (Figures 1f and 1g, p-GaN layer and DHIP structure made of p-Gan according to page 4, “holes are selectively filled by p-GaN epitaxy using the same condition for planar p-GaN”) including a plug portion that extends into the center cavity of the mesa structure where the plug portion shares the cavity sidewalls (Figures 1f and 1g, DHIP structure which extends into the central cavity and shares the cavity sidewalls of the MQW structure), is completely laterally surrounded by the active layer of the mesa structure and is laterally adjacent to the plurality of quantum well layers of the mesa structure (Figures 1f and 1g, page 4, the DHIP structures are formed in holes in the MQW structure such that they are completely laterally surrounded by the multiple quantum wells at their bottom portions and are laterally adjacent to the quantum wells).
For these reasons, claim 1 stands rejected under 35 U.S.C. 102(a)(1) as being anticipated by InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”).
Claims 1 and 3 stand rejected under 35 U.S.C. 102(a)(1) as being anticipated by InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”).
Claims 4-5 stand rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 3 above, and further in view of US 2023/0110324 A1; David et al.; 04/2023; (“David”).
Claim 8 stands rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 1 above, and further in view of US 2020/0035860 A1; Michiue, Atsuo; 01/2020; (“Michiue”).
Claim 9 stands rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) in view of US 2020/0035860 A1; Michiue, Atsuo; 01/2020; (“Michiue”), as applied to claim 8 above, and further in view of US 2013/0087780 A1; Chiou, Yu-Zung; 04/2013; (“Chiou”).
Applicant’s arguments, see page 7 of the remarks, filed 09/01/2026, with respect to new claims 21-31 as being allowable for their dependence on claim 1 have been fully considered but are not found persuasive. As described above, claim 1 has not been found allowable and stands rejected under 35 U.S.C. 102(a)(1) and the new dependent claims have not been found allowable for their dependence.
Claim 21 stands rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 1 above, and further in view of US 2020/0035860 A1; Michiue, Atsuo; 01/2020; (“Michiue”).
Claims 22-25 stand rejected under 35 U.S.C. 102(a)(1) as being anticipated by InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”).
Claims 26-31 stand rejected under 35 U.S.C. 103 as being unpatentable over InGaN/GaN light-emitting diode having direct hole injection plugs and its high-current operation; Kim et al.; 03/2017; (“Kim”) as applied to claim 1 above, and further in view of Hole Transport in Ultraviolet Light-Emitting Diode via p-Type Injection Channel; Mondal et al.; 05/2021; (“Mondal”).
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 TYLER JAMES WIEGAND whose telephone number is (571)270-0096. The examiner can normally be reached Mon-Fri. 8AM-5PM.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, CHRISTINE KIM can be reached at (571) 272-8458. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/TYLER J WIEGAND/Examiner, Art Unit 2812
