Prosecution Insights
Last updated: April 19, 2026
Application No. 18/411,126

TRANSMITTER, TRANSMISSION DEVICE, COMMUNICATION DEVICE, AND COMMUNICATION SYSTEM

Non-Final OA §103§112
Filed
Jan 12, 2024
Examiner
BROCK, PAUL MORGAN
Art Unit
2634
Tech Center
2600 — Communications
Assignee
NEC Corporation
OA Round
1 (Non-Final)
Grant Probability
Favorable
1-2
OA Rounds
2y 9m
To Grant

Examiner Intelligence

Grants only 0% of cases
0%
Career Allow Rate
0 granted / 0 resolved
-62.0% vs TC avg
Minimal +0% lift
Without
With
+0.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
19 currently pending
Career history
19
Total Applications
across all art units

Statute-Specific Performance

§103
51.1%
+11.1% vs TC avg
§102
33.3%
-6.7% vs TC avg
§112
15.6%
-24.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 0 resolved cases

Office Action

§103 §112
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 . Priority Should applicant desire to obtain the benefit of foreign priority under 35 U.S.C. 119(a)-(d) prior to declaration of an interference, a certified English translation of the foreign application must be submitted in reply to this action. 37 CFR 41.154(b) and 41.202(e). Failure to provide a certified translation may result in no benefit being accorded for the non-English application. Specification The disclosure is objected to because of the following informalities: Elements 251 and 252 are both labeled as “a plurality of movable reflectors” (p. 36) “point-symmetric al positional” is unclear (p. 33) Appropriate correction is required. Claim Rejections - 35 USC § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claims 2, 3, 5-7, 9 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claim 1 introduces “a reflective surface” as an element and then dependent claim 2 which depends upon claim 1, also introduces “a reflective surface.” Claims 3, 5-7 which depend on claim 2 are thereby also rejected for being unclear. Dependent claim 2 introduces “a through hole” as an element and then dependent claim 3 which depends upon claim 2, also introduces “a through hole.” Dependent claim 2 introduces “a through hole” as an element and then dependent claim 5 which depends upon claim 2, also introduces “a through hole.” It is unclear how the “second surface” of claim 2 interacts with the “third surface” or “fourth surface” of claim 3. Dependent claim 9 introduces “a second memory” and “a second processor” but claim 1 which claim 9 depends upon does not introduce a first memory nor a first processor. 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 1-5, 8-10 are rejected under 35 U.S.C. 103 as being unpatentable over Okumura (US Pat. Pub. 2016/0238833 A1) in light of Tateyama (JP2018/026095 A) and in further light of Goldsmith (US Pat. Pub. 20200266547 A1). Regarding claim 1, Okumura teaches A transmitter comprising: a light source; (FIG. 4, 310) a spatial optical modulator (FIG. 4, 320) including a modulating part in which a plurality of modulation regions to be irradiated with illumination light derived from light emitted from each of the plurality of emitters are set; and reflector having a reflective surface (FIG. 4, 340) that is irradiated with modulated light modulated in each of the plurality of modulation regions and reflects the modulated light modulated in each of the plurality of modulation regions in a certain direction in a horizontal plane (FIG. 4, 320). Okumura does not teach including a plurality of emitters. Tateyama teaches including a plurality of emitters. (FIG. 1, 32). Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to replace the emitter taught in Okumura with the plurality of emitters taught in Tateyama. The suggestion/motivation would have been to increase the amount of information that could be moved by using a plurality of emitters instead of one. Regarding claim 2, the combination of Okumura and Tateyama discloses The transmitter according to claim 1, the combination of Okumura and Tateyama does not teach, wherein the reflector has a shape in which a first surface of a circular shape with a first radius faces a second surface of a circular shape with a second radius smaller than the first radius, a side surface surrounding peripheral edges of the first surface and the second surface forms a reflective surface, and a through hole penetrating from the first surface to the second surface is formed, the light source is arranged at a position at which an optical path of the illumination light passes through the through hole of the reflector from the first surface toward the second surface, and the spatial optical modulator is arranged at a position at which the second surface of the reflector faces the modulating part, and the modulated light obtained by modulating the illumination light emitted from the light source is reflected toward the reflective surface of the reflector. Goldsmith teaches wherein the reflector has a shape in which a first surface of a circular shape with a first radius (FIG. 3, 310) faces a second surface of a circular shape with a second radius smaller than the first radius (320), a side surface surrounding peripheral edges of the first surface and the second surface forms a reflective surface (FIG. 3, 310, 320), and a through hole penetrating from the first surface to the second surface is formed (FIG. 3, 311), the light source (FIG. 3, 312) is arranged at a position at which an optical path of the illumination light passes through the through hole of the reflector (FIG. 3, 311) from the first surface toward the second surface (FIG. 3, 320), and the spatial optical modulator is arranged at a position at which the second surface of the reflector (FIG. 3, 320) faces the modulating part, and the modulated light obtained by modulating the illumination light emitted from the light source is reflected toward the reflective surface of the reflector. (FIG. 3, 310). Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to employ the arrangement of reflective surfaces taught in Goldsmith in the system taught by Okumura. The suggestion/motivation would have been to transmit a light signal over a wider field while maintaining a compact arrangement of reflective surfaces to minimize the size of the transmitting device. Regarding claim 3, the combination of Okumura, Tateyama and Goldsmith discloses The transmitter according to claim 2, further comprising an additional reflector having a shape in which a third surface of a circular shape (Tateyama, FIG. 1, 40) with a third radius equal to or smaller than the second radius (Tateyama, FIG. 1, 40) faces a fourth surface of a circular shape (Okumura, FIG. 4, 320) with a fourth radius smaller than the third surface and including an additional reflective surface formed on a side surface surrounding peripheral edges of the third surface and the fourth surface and a through hole formed to penetrate from the third surface to the fourth surface, the third surface being positioned to overlap the second surface of the reflector, wherein the spatial optical modulator (Okumura, FIG. 4, 320) is arranged at a position at which the fourth surface of the additional reflector (Okumura, FIG. 4, 320) faces the modulating part, and the modulated light obtained by modulating the illumination light emitted from the light source is reflected toward either the reflective surface (Goldsmith, FIG. 3, 310) or the additional reflective surface (Tateyama, FIG. 1, 40). Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to employ the reflector taught in Tateyama in the system taught by Okumura to further reflect a light signal. The suggestion/motivation would have been to allow for another segment to be added to the path of a light signal so that modulator or emitter could be placed further away from the transmitting reflective surface. Regarding claim 4, the combination of Okumura, Tateyama and Goldsmith discloses The transmitter according to claim 1, wherein the reflector includes a first reflector (Goldsmith, FIG. 3, 310) having a shape in which a first surface of a semicircular shape with a first radius faces a second surface (Goldsmith, FIG. 3, 320) of a semicircular shape with a second radius smaller than the first radius and including a side surface surrounding peripheral edges of the first surface and the second surface, the side surface forming a reflective surface, and a second reflector having a shape in which a third surface (Tateyama, FIG. 1, 40) of a semicircular shape with a third radius faces a fourth surface (Okumura, FIG. 4, 320) of a semicircular shape with a fourth radius smaller than the third radius and including a side surface surrounding peripheral edges of the third surface and the fourth surface, the side surface forming a reflective surface, the first reflector (Goldsmith, FIG. 3, 310) and the second reflector (Goldsmith, FIG. 3, 320) are arranged in such a way that diameter portions overlap each other in a planar view and deviate from each other in a vertical direction, the light source (Okumura, FIG. 4, 310) is arranged at a position at which an optical path of the illumination light extends from the first surface of the first reflector (Goldsmith, FIG. 3, 310) toward the fourth surface of the second reflector, and the spatial optical modulator is arranged at a position at which the fourth surface (Okumura, FIG. 4, 320) of the second reflector faces the modulating part (Okumura, FIG. 4, 320), and the modulated light obtained by modulating the illumination light emitted from the light source (Okumura, FIG. 4, 310) is reflected toward any one of the reflective surfaces of the first reflector and the second reflector. (Goldsmith, FIG. 3, 310). Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to employ the reflector taught in Tateyama in the system taught by Okumura to further reflect a light signal. The suggestion/motivation would have been to allow for another segment to be added to the path of a light signal so that a modulator or emitter could be placed further away from the transmitting reflective surface. It would have been further obvious for a person of ordinary skill in the art to employ the arrangement of reflective surfaces taught in Goldsmith in the system taught by Okumura. The suggestion/motivation would have been to transmit a light signal over a wider field while maintaining a compact arrangement of reflective surfaces to minimize the size of the transmitting device. Regarding claim 5, the combination of Okumura, Tateyama and Goldsmith discloses The transmitter according to claim 2, further comprising: a relay reflector (Tateyama, FIG. 1, 40) arranged between the light source (Okumura, FIG. 4, 310) and the spatial optical modulator (Okumura, FIG. 4, 320) , having an outer shape of a right-angle prism having a relay reflective surface on an inclined surface, and including a through hole (Goldsmith, FIG. 3, 311) formed to penetrate the relay reflective surface, wherein the light source (Okumura, FIG. 4, 310) is arranged at a position at which the illumination light passes toward the relay reflective surface via the through hole of the relay reflector, the spatial optical modulator is arranged at a position at which the relay reflective surface of the relay reflector faces the modulating part, and the modulated light obtained by modulating the illumination light emitted from the light source is reflected toward the relay reflective surface (Tateyama, FIG. 1, 40), and the relay reflector is arranged at a position at which the modulated light modulated by the modulating part of the spatial optical modulator (Okumura, FIG. 4, 320) is reflected toward the reflective surface. (Goldsmith, FIG. 3, 310). Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to employ the reflector taught in Tateyama in the system taught by Okumura to further reflect a light signal. The suggestion/motivation would have been to allow for another segment to be added to the path of a light signal so that a modulator or emitter could be placed further away from the transmitting reflective surface. It would have been further obvious for a person of ordinary skill in the art to employ the arrangement of reflective surfaces taught in Goldsmith in the system taught by Okumura. The suggestion/motivation would have been to transmit a light signal over a wider field while maintaining a compact arrangement of reflective surfaces to minimize the size of the transmitting device. Regarding claim 8, the combination of Okumura and Tateyama discloses A transmission device comprising: the transmitter according to claim 1; and a communication controller comprising a first memory storing instructions, (Okumura, [0074]) and a first processor connected to the first memory (Okumura, [0106]) and configured to execute the instructions to set a phase image used for spatial optical communication in the modulating part of the spatial optical modulator included in the transmitter (Okumura, [0074]), and control the light source included in the transmitter in such a way that the modulating part is irradiated with light. (Id.) Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to connect the transmitter taught in Okumura to a communication controller as it is taught within Okumura. The suggestion/motivation would have been to control the light signal outputted from the transmitter. Regarding claim 9, the combination of Okumura and Tateyama discloses A communication device comprising: a transmission device including the transmitter according to claim 1; a reception device configured to receive a spatial optical signal from another communication device; (Tateyama, FIG. 9) and a communication control device comprising a second memory storing instructions (Okumura, [0074]); and a second processor connected to the second memory (Okumura, [0106]) and configured to execute the instructions to acquire a signal based on the spatial optical signal received by the reception device, execute processing associated with the acquired signal, and cause the transmission device to transmit a spatial optical signal obtained by the executed processing. (Id.). Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to use the transmitter taught in Okumura in the arrangement shown in Tateyama. The suggestion/motivation would have been to allow remote system to communicate with each other over a distance using free space optical communication. Regarding claim 10, the combination of Okumura and Tateyama discloses communication system comprising: a plurality of communication devices each according to claim 9, wherein the plurality of communication devices are arranged to transmit and receive the spatial optical signals to and from each other. (Tateyama, FIG. 9) Before the filing date of the instant application, it would have obvious for a person of ordinary skill in the art to use the transmitter taught in Okumura in the arrangement shown in Tateyama. The suggestion/motivation would have been to allow remote system to communicate with each other over a distance using free space optical communication. Allowable Subject Matter Claims 6-7 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Specifically, while the combination of Okumura, Tateyama and Goldsmith discloses The transmitter according to claim 2, further comprising: a relay reflector (Tateyama, FIG. 1, 40) arranged between the light source (Okumura, FIG. 4, 310) and the spatial optical modulator (Okumura, FIG. 4, 320), having an outer shape of a right-angle prism having a relay reflective surface on an inclined surface, and including a through hole (Goldsmith, FIG. 3, 311) formed to penetrate the relay reflective surface, the light source (Okumura, FIG. 4, 310) is arranged at a position at which the illumination light passes toward the relay reflective surface via the through hole of the relay reflector, the spatial optical modulator is arranged at a position at which the relay reflective surface of the relay reflector faces the modulating part, and the modulated light obtained by modulating the illumination light emitted from the light source is reflected toward the relay reflective surface (Tateyama, FIG. 1, 40), and the relay reflector is arranged at a position at which the modulated light modulated by the modulating part (Okumura, FIG. 4, 320) is reflected toward the circular track. The combination of Okumura, Tateyama and Goldsmith does not disclose wherein the reflector includes a circular track and a plurality of movable reflectors movably arranged on the circular track, Therefore, Claim 6 and its dependent are found to contain allowable subject matter. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to PAUL M BROCK whose telephone number is (571)272-7257. The examiner can normally be reached 8-4:30pm. 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, Kenneth Vanderpuye can be reached at (571) 272-3078. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /Paul Brock/ Patent Examiner, Art Unit 2634 /KENNETH N VANDERPUYE/Supervisory Patent Examiner, Art Unit 2634
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Prosecution Timeline

Jan 12, 2024
Application Filed
Dec 12, 2025
Non-Final Rejection — §103, §112 (current)

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Prosecution Projections

1-2
Expected OA Rounds
Grant Probability
2y 9m
Median Time to Grant
Low
PTA Risk
Based on 0 resolved cases by this examiner. Grant probability derived from career allow rate.

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