Prosecution Insights
Last updated: April 19, 2026
Application No. 18/412,021

APPARATUS AND METHOD FOR GENERATING AN OPTICAL SIGNAL

Non-Final OA §103
Filed
Jan 12, 2024
Examiner
RADKOWSKI, PETER
Art Unit
2874
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Taiwan Semiconductor Manufacturing Company Limited
OA Round
3 (Non-Final)
76%
Grant Probability
Favorable
3-4
OA Rounds
2y 7m
To Grant
84%
With Interview

Examiner Intelligence

Grants 76% — above average
76%
Career Allow Rate
985 granted / 1300 resolved
+7.8% vs TC avg
Moderate +8% lift
Without
With
+8.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
45 currently pending
Career history
1345
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
83.8%
+43.8% vs TC avg
§102
6.7%
-33.3% vs TC avg
§112
7.1%
-32.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1300 resolved cases

Office Action

§103
Detailed Office Action Notice of Pre-AIA or AIA Status The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis 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. Request for Continued Examination A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 22 January 2026 has been entered. Response to Arguments Applicant’s arguments with respect to claims 1-10 and 17-26 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. 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. This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention. Claims 1-10 and 17-26 Claims 1-10 and 17-26 are rejected under 35 U.S.C. 103 as being unpatentable over Bogaerts et al. (Silicon microring resonators, Laser Photonics Rev. 6, No. 1, 47–73 (2012; “Bogaerts”) in view of Vokic et al. (Driver for 3D-integrated nonlinear microring resonator-based optical modulators, MIPRO 2018, May 21-25, 2018, Opatija Croatia; “Vokic”), further in view of Ma et al. (2020/0200975; “Ma”), and further in view of Yu et al. (High performance micro-fiber coupler-based polarizer and band-rejection filter, Optics Express. 2012. 20. 17258-17270; “Yu”). Regarding claim 1, Bogaerts discloses in figure 28, and related figures and text, electrooptic micro ring modulator embodiments comprising n+n-pp+ junctions constructed such that n+n and pp+ regions straddle (located on opposite sides of) the ridge-ring waveguide’s circular centerline. Bogaerts, page 67 (“Apart from using rings as passive devices, i. e. where they filter optical signals or act as a sensor, they can also be used as an electrically actuated device. In the past few years, a lot of work has been invested by several groups in electro-optic modulators based on ring resonators. In a ring modulator (or a modulator based on any resonator), the resonator is tuned such that the operating wavelength is on the slope of the resonance peak. By then modulating the optical length of the ring, the resonance peak is shifted and the transmission/ reflection of the cavity is changed. This is illustrated in Fig. 28.”). Bogaerts – Figure 28 PNG media_image1.png 284 782 media_image1.png Greyscale Further regarding claim 1, Vokic discloses in figure 1, and related figures and text, electrooptic ring modulator embodiments in which the first contact region n+ is disposed at an axial center of a first n+ ring region and a second p+ ring region. Vokic – Figure 1 PNG media_image2.png 384 354 media_image2.png Greyscale Consequently, it would have been obvious to one of ordinary skill in the art to modify Bogaert’s embodiments such that the first contact region is disposed at an axial center of the first ring region and the second ring region; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text, because the resulting configurations and methods would facilitate 3D CMOS-integration of high performing optical ring modulators. Vokic, VI. Conclusion (“This paper presents a ring modulator driver designed to be 3D integrated with the optical ring modulator. An electrical test chip was fabricated and experimentally verified. It can operate with NRZ binary as well as PAM-4 modulation, both at 10 Gb/s. Circuits in nanometer-scale technologies have reported larger data rates, up to 40 Gb/s for PAM-4. However, our circuit is produced in a standard 0.35 μm BiCMOS technology with much lower mask cost, which allows fabrication of ASICs in low production volumes. Wire-bonded nanometer-CMOS drivers achieved a larger voltage swing at the modulator, however, only by using ac-coupling with large capacitors, which cannot be 3D integrated. In addition, the presented driver delivers a higher voltage swing than reported monolithic and other 3D integrated drivers, which enables a larger extinction ratio. Furthermore, the suggested driver can compensate the nonlinearity of the ring modulator transfer characteristic, while consuming 160 mW.”). Further regarding claim 1, Ma discloses in figure 1, and related figures and text, for example, Ma – Selected Text, a device for modulating an optical carrier signal 1 comprising: a coupler 3; a differential signal generator 11; and a first ring modulator 6a/8a optically coupled to the directional coupler via waveguide 4a and electrically coupled 15a to the differential signal generator. Ma, figure 1, and related figures and text, for example, Ma – Selected Text. Ma – Figure 1 PNG media_image3.png 531 724 media_image3.png Greyscale Ma – Selected Text Abstract. In Mach-Zehnder interferometer (MZI) based modulators (MZM) input laser light comes in from one side, gets split into two MZI arms, then recombined at an opposite side. Each MZI arm may be phase or intensity modulated depending on the set phase offset, whereby coherent or intensity modulation may be performed which can later be de-coded by a receiver. Ring resonator type modulators (RRM) are compact; however, their phase response is nonlinear, normally limiting their application in coherent phase modulation. However, a combined MZI RRM overcomes the shortcomings of the prior art by providing a novel structure and driving scheme for use with semiconductor photonics that takes advantage of the compactness of ring modulators and the linearity of MZI by setting the ring resonators to resonate at the input laser light wavelength. [0064] While the present teachings are described in conjunction with various embodiments and examples, it is not intended that the present teachings be limited to such embodiments. On the contrary, the present teachings encompass various alternatives and equivalents, as will be appreciated by those of skill in the art. [0065] With reference to FIG. 1, a Mach-Zehnder interferometer ring resonator modulator MZIRRM 1 in accordance with the present invention includes an input 2, which may be optically coupled to a light source 10, which generates an input optical signal at a desired laser wavelength. A splitter 3 separates the input optical signal into two sub-beams, e.g. equal sub-beams, each one travelling in a respective MZ arm 4a and 4b of an MZI. Each MZ arm 4a and 4b is connected to a ring resonator modulator (RRM) structure 6a and 6b, respectively, via a suitable coupling region. The coupling region may include an arcuate or semi-circular section of the MZ arm 4a and 4b partially surrounding the RRM 6a and 6b, respectively. One or both of the MZ arms 4a or 4b may include a static phase difference 7 ϕ.sub.static, e.g. π or π/2, which may be fixed or adjustable, as hereinafter discussed. In a preferred embodiment both RRM structures 6a and 6b are substantially identical with substantially the same structure and characteristics, e.g. substantially the same length, radius, circumference, resonance wavelength and coupling ratio. Each RRM 6a and 6b (FIG. 2) may comprise a single or multiple ring with a high speed phase modulation section 8a and 8b, respectively, e.g. a PN junction, and optically coupled to one of the MZ arms 4a and 4b, respectively, at a coupling region 9a and 9b defined by a transmission coefficient t and a coupling coefficient k. After the two sub-beams undergo the desired relative phase delay, they are brought back together at coupler 5, e.g. Y-junction or 2×2 coupler, resulting in interference of the two sub-beams and the modulation of the output beam for transmission via output port 12. [0066] Ideally, the two RRM's 6a and 6b may be differentially driven by a driver 11 connected to the phase modulation sections 8a and 8b, whereby the RRM's 6a and 6b undergo RF ring phase biases ϕ.sub.RF1=−ϕ.sub.RF2. [0081] Now consider a specific situation, both identical RRM's 6a and 6b are on resonance at the desired laser wavelength of the input optical signal, whereby the tunable roundtrip ring phase delay θ.sub.ring1=θ.sub.ring2=0 or a multiple of 2π. The bias scheme is defined as “null bias” since both RRM's 6a and 6b are on resonance with minimum output power. [0082] The tunable roundtrip phase delays, θ.sub.ring1 and θ.sub.ring2, for each RRM 6a and 6b, respectively, may be tuned by a phase, e.g. thermal, tuner structure 15a and 15b provided in each RRM 6a and 6b, respectively, typically to ensure that the RRM's 6a and 6b are both resonating at substantially the laser wavelength. Several variants of the phase tuners 15a and 15b are illustrated in FIGS. 3 to 5C. With reference to FIG. 3, the phase tuner structures 15a and 15b may be comprised of a doped resistive phase tuner covering the coupling region 9a and 9b, respectively, between the MZI arms 4a and 4b and the RRM's 6a and 6b. In the embodiment illustrated in FIG. 4, the phase tuners 15a and 15b may be comprised of a doped resistive thermal tuner covering a non-coupling region of the RRM's 6a and 6b. FIGS. 5A-5C illustrates that each of the phase tuners 15a and 15b may comprise a metal resistive thermal tuner on top of the resonator waveguide of each RRM 6a and 6b. [0083] Moreover, with reference to FIGS. 5B and 5C, to improve thermal tuning efficiency, each RRM 6a and 6b with an integrated metal heater phase tuner 15a and 15b, may include an undercut region 21 provided, e.g. etched, in the cladding 22 surrounding the MZ arms 4a and 4b, and the RRM's 6a and 6b, e.g. between the metal heaters 15a and 15b and the RRM's 6a and 6b, respectively, and/or below the RRM's 6a and 6b. The undercut region 21 may even extend into the substrate region 23 supporting the cladding 22, the RRM's 6a and 6b, and the MZI arms 4a and 4b. The undercut regions 21 may be filled with air or some other filling material. [0084] In a first example, when the two MZ arms 4a and 4b are out of phase, whereby the static phase difference between the two MZI arms 4a and 4b is ϕ.sub.static=π. A differential signal from the driver 11 drives the two RRM's 6a and 6b, whereby the ring driving phase differences ϕ.sub.mod1=ϕ.sub.mod2, which results in RF ring phase biases ϕ.sub.RF1=−ϕ.sub.RF2, e.g. π/2 and −π/2. Accordingly, this case is suitable for coherent modulation. 1. A modulator comprising: an input port for receiving an input optical signal at a source wavelength; a splitter for splitting the input optical signal into first and second sub-beams; first and second waveguide arms extending from the splitter capable of supporting the first and second sub-beams, respectively; a first ring resonator structure coupled to the first arm capable of providing a first round trip phase delay (θ.sub.ring1) to the first sub-beam; a first phase tuner structure capable of adjusting the first round trip phase delay (θ.sub.ring1); a first phase modulator capable of biasing the first ring resonator structure generating a first RF phase delay (ϕ.sub.RF1) to the first sub-beam; a second ring resonator structure coupled to the second arm capable of providing a second round trip phase delay (θ.sub.ring2) to the second sub-beam; a second phase tuner structure capable of adjusting the second round trip phase delay (θ.sub.ring2); a second phase modulator capable of biasing the second ring resonator structure generating a second RF phase delay (ϕ.sub.RF2) on the second sub-beam; a static phase difference (ϕ.sub.static) in one of the first and second arms capable of creating a phase difference between the first and second sub-beams travelling in the first and second arms; an output combiner for combining the first and second sub-beams into an output modulated signal; a controller for controlling the first and second phase tuners, whereby the first and second phase tuner structures are configured to adjust the first and second ring resonator structures to resonate at the laser wavelength; and an output port for outputting the output modulated signal. 4. The modulator according to claim 3, wherein the driver comprises a dual differential driver. Consequently, it would have been obvious to one of ordinary skill in the art to modify Bogaert in view of Vokic’s optical modulator embodiments to disclose: a coupler; a differential signal generator; and a first ring modulator optically coupled to the coupler and electrically coupled to the differential signal generator, the first ring modulator comprising: a substrate; a first contact region electrically coupled to the differential signal generator; a second contact region electrically coupled to the differential signal generator; a first ring region extending to a top surface of the substrate and separated from the first contact region by a first portion of the substrate; and a second ring region extending to the top surface of the substrate and separated from the second contact region by a second portion of the substrate, wherein: a sidewall of the first ring region abuts a sidewall of the second ring region, the first contact region is disposed at an axial center of the first ring region and the second ring region; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text; because the resulting configurations and methods would facilitate 3D CMOS-integration of high-performance optical ring modulators; Vokic, VI. Conclusion; into high-performance Mach-Zehnder modulator devices. Ma, abstract. Further regarding claim 1, Bogaert in view of Vokic and further in view of Ma does not explicitly disclose a directional coupler. However, Yu discloses in figure 1, and related figures and text, for example, Yu – Selected Text, an optical input structure comprising a directional coupler, the directional coupler comprising a parallel straight waveguide sections, each straight waveguide section sandwiched between a first curved waveguide portion and a second curved waveguide portion. Yu – Figure 1 PNG media_image4.png 208 393 media_image4.png Greyscale Yu – Selected Text Abstract: Using full vector finite element method and super-mode theory, we analyzed the feasibility to fabricate micro-fiber-coupler-based optical polarizer. Our theoretical analysis showed that there exist a set of optimal pairs of two coupler geometric parameters, i.e. the coupling length and the micro-fiber diameter of the coupler, that can result in high performance polarizers. Experimentally, we fabricated three such coupler-based polarizers using the dual fiber drawing technique and characterized their performance. Our experimental measurement results confirmed our theoretical prediction in several aspects. When the diameter of the coupler forming micro-fiber is relatively small (~3.5μm), the degree of polarization (DOP) of the fabricated polarizer was found relatively low (~50%) even over some coupling length range. However, when the diameter of the coupler-forming micro-fiber is larger (about 5μm to 9μm), a much higher DOP (>91.4%) and better linear polarization extinction ratio (LPER) of ~60dB could be achieved. The measured geometric parameters of two polarizer samples that showed high polarizing performance agreed very well with our theoretical values. Furthermore, we also demonstrated that such a coupler-based polarizer can be used as an optical filter as well. The filter exhibited an extinction ratio as high as 20dB at the center wavelength and the full width at half maximum (FWHM) was 10nm. Figure 1 is a schematic showing super-mode theory (SMT) of waveguide directional coupling. Based on SMT [26], two parallel and clingy micro-fibers in coupling region denoted by red dashed-line rectangle in Fig. 1, where two micro-fibers are parallel and next to each other, is regarded as a new waveguide. Coupling can be interpreted as an interference between even super-mode (ESM) and odd super-mode (OSM); both these super-modes are steadily guided modes of the new waveguide. Once light in TE(TM) polarization is launched in one of inputs of the coupler, TE(TM) ESM and OSM will be excited simultaneously and coupling between the two micro-fibers occurs. When phase difference between ESM and OSM is accumulated to π after a half of beat length, the interference results in that the TE(TM) light in the one input port will be completely cross-coupled to cross output port as shown in Fig. 1. Consequently, it would have been obvious to one of ordinary skill in the art to modify Bogaert in view of Vokic, and further in view of Ma’s optical modulator embodiments to disclose a device for modulating an optical carrier signal comprising: a directional coupler; a differential signal generator; and a first ring modulator optically coupled to the directional coupler and electrically coupled to the differential signal generator, the first ring modulator comprising: a substrate; a first contact region electrically coupled to the differential signal generator; a second contact region electrically coupled to the differential signal generator; a first ring region extending to a top surface of the substrate and separated from the first contact region by a first portion of the substrate; and a second ring region extending to the top surface of the substrate and separated from the second contact region by a second portion of the substrate, wherein: a sidewall of the first ring region abuts a sidewall of the second ring region, the first contact region is disposed at an axial center of the first ring region and the second ring region; Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text; because the resulting configurations and methods would facilitate 3D CMOS-integration of high-performance optical ring modulators; Vokic, VI. Conclusion; into high-performance Mach-Zehnder modulator devices; Ma, abstract; while predictably controlling polarization. Yu, abstract (“there exist a set of optimal pairs of two coupler geometric parameters, i.e. the coupling length and the [width] of the coupler, that can result in high performance polarizers.”). Regarding claims 2-10 and 17-26, it would have been obvious to one of ordinary skill in the art to modify Bogaert in view of Vokic, further in view of Ma, and further in view of Yu’s optical modulator embodiments, as applied in the rejection of claim 1, to disclose 2. The device of claim 1, wherein: the first ring region is coupled to the first contact region, and a doping concentration of the first contact region is greater than a doping concentration of the first ring region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 3. The device of claim 2, wherein: the second ring region is coupled to the second contact region, and a doping concentration of the second ring region is less than a doping concentration of the second contact region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 4. The device of claim 1, wherein the second contact region is non-circumferentially disposed on an opposite side of the first ring region and the second ring region relative to the first contact region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 5. The device of claim 1, wherein the first contact region and the second contact region are each coupled to a waveguide ring. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 6. The device of claim 5, wherein the first ring modulator comprises a waveguide bus optically coupled to the waveguide ring. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 7. The device of claim 1, wherein: the directional coupler comprises a first waveguide physically connected between an input terminal of the directional coupler and an output terminal of the directional coupler, and the first waveguide comprises a first curved portion, a second curved portion, and a linear portion between the first curved portion and the second curved portion. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 8. The device of claim 1, wherein: the first ring modulator comprises: a first buried region having a first doping concentration; a second buried region having a second doping concentration less than the first doping concentration, the first buried region is between the first contact region and the second buried region; and the second buried region is between the first buried region and the first ring region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 9. The device of claim 8, wherein the first ring region is between the second buried region and the second contact region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 10. The device of claim 1, comprising: a second ring modulator optically coupled to the directional coupler and electrically coupled to the differential signal generator. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 17. A device for modulating an optical carrier signal, comprising: a directional coupler; a differential signal generator; and a first ring modulator optically coupled to the directional coupler and electrically coupled to the differential signal generator, the first ring modulator comprising: a substrate; a first contact region electrically coupled to the differential signal generator; a first buried region having a first doping concentration; a second buried region having a second doping concentration different than the first doping concentration; a first ring region extending to a top surface of the substrate and separated from the first contact region by a first portion of the substrate; a second ring region extending to the top surface of the substrate, wherein a sidewall of the first ring region abuts a sidewall of the second ring region; and a second contact region electrically coupled to the differential signal generator, wherein: the second ring region is separated from the second contact region by a second portion of the substrate. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 18. The device of claim 17, wherein the first buried region is between the first contact region and the second buried region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 19. The device of claim 18, wherein: the second buried region is between the first buried region and the second contact region; and the second doping concentration is less than the first doping concentration. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 20. The device of claim 17, wherein the first ring region is between the second buried region and the second contact region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 21. A device for modulating an optical carrier signal, comprising: a directional coupler; a differential signal generator; a first ring modulator optically coupled to the directional coupler and electrically coupled to the differential signal generator, the first ring modulator comprising: a substrate; a waveguide bus; a first contact region electrically coupled to the differential signal generator, wherein: the substrate comprises a first ring region coupled to the first contact region, and a doping concentration of the first contact region is different than a doping concentration of the first ring region; and a second contact region electrically coupled to the differential signal generator, wherein the substrate comprises a second ring region coupled to the second contact region; and a silica insulator, wherein the first contact region is separated from the waveguide bus by the silica insulator and the substrate, and wherein neither of the first contact region nor the second contact region are disposed between the waveguide bus and the second ring region. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 22. The device of claim 21, wherein the first ring region and the second ring region define a waveguide ring. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 23. The device of claim 22, wherein the first ring modulator comprises a waveguide bus optically coupled to the waveguide ring. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 24. The device of claim 21, wherein: the directional coupler comprises a first waveguide physically connected between an input terminal of the directional coupler and an output terminal of the directional coupler, and the first waveguide comprises a first curved portion, a second curved portion, and a linear portion between the first curved portion and the second curved portion. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 25. The device of claim 21, comprising: a second ring modulator optically coupled to the directional coupler and electrically coupled to the differential signal generator. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. 26. The device of claim 21, comprising: a first waveguide optically coupled to the first ring modulator, wherein the directional coupler comprises a second waveguide optically coupled to a second ring modulator. Yu, figure 1, and related figures and text, for example, Yu – Selected Text; Ma, figure 1, and related figures and text, for example, Ma – Selected Text; Bogaerts, figure 28, and related figures and text; Vokic, figure 1, and related figures and text. because the resulting configurations and methods would facilitate 3D CMOS-integration of high-performance optical ring modulators; Vokic, VI. Conclusion; into high-performance Mach-Zehnder modulator devices; Ma, abstract; while predictably controlling polarization. Yu, abstract. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to PETER RADKOWSKI whose telephone number is (571)270-1613. The examiner can normally be reached on M-Th 9-5. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thomas Hollweg, can be reached on (571) 270-1739. The fax phone number for the organization where this application or proceeding is assigned is (571) 273-8300. Information regarding the status of an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, See http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at (866) 217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative or access to the automated information system, call (800) 786-9199 (IN USA OR CANADA) or (571) 272-1000. /PETER RADKOWSKI/Primary Examiner, Art Unit 2874
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Prosecution Timeline

Jan 12, 2024
Application Filed
Apr 15, 2025
Non-Final Rejection — §103
Jul 15, 2025
Response Filed
Oct 28, 2025
Final Rejection — §103
Dec 30, 2025
Response after Non-Final Action
Jan 22, 2026
Request for Continued Examination
Feb 01, 2026
Response after Non-Final Action
Mar 14, 2026
Non-Final Rejection — §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

3-4
Expected OA Rounds
76%
Grant Probability
84%
With Interview (+8.5%)
2y 7m
Median Time to Grant
High
PTA Risk
Based on 1300 resolved cases by this examiner. Grant probability derived from career allow rate.

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