Prosecution Insights
Last updated: August 18, 2026
Application No. 18/418,704

VERTICAL-CAVITY SURFACE-EMITTING LASER THAT PROVIDES POLARIZATION MODE CONTROL

Non-Final OA §102
Filed
Jan 22, 2024
Priority
Nov 27, 2023 — provisional 63/602,926
Examiner
HUGHES, DEANDRA M
Art Unit
Tech Center
Assignee
Lumentum Operations LLC
OA Round
1 (Non-Final)
78%
Grant Probability
Favorable
1-2
OA Rounds
0m
Est. Remaining
97%
With Interview

Examiner Intelligence

Grants 78% — above average
78%
Career Allowance Rate
149 granted / 190 resolved
+18.4% vs TC avg
Strong +18% interview lift
Without
With
+18.2%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
27 currently pending
Career history
203
Total Applications
across all art units

Statute-Specific Performance

§101
3.5%
-36.5% vs TC avg
§103
16.2%
-23.8% vs TC avg
§102
7.8%
-32.2% vs TC avg
§112
26.4%
-13.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 190 resolved cases

Office Action

§102
NON-FINAL REJECTION Acknowledgements 1. Claims 1-20 were presented for examination on Jan. 22, 2024. These claims are grouped as follows: claims 1-7; claims 8-14; and claims 15-20. 2. Applicant claims priority under 35 USC §119(e) to Provisional App. No. 63/602,926 filed on Nov. 27, 2023. 3. The presumed effective filing date of the instant application is Jan. 22, 2024, which is the filing date of the provisional application. Claim Rejections - 35 USC § 102 4. Claims 1-20 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by US 10,985,531 to Wang et al. published Apr. 20, 2021 (“Wang”). PNG media_image1.png 721 887 media_image1.png Greyscale As to claim 1, Wang discloses (fig. 4, #100), comprising: a confinement layer (col. 4:54-58); and PNG media_image2.png 136 596 media_image2.png Greyscale a polarization mode filter (#105), wherein: the confinement layer (col.4:54-58) defines a confinement aperture (#101), the confinement aperture (#101) is asymmetrical with respect to at least one axis of the confinement aperture (‘non-circularly shaped’ is asymmetrical), and the polarization mode filter (#105) includes a grating (col.5:12-13), and PNG media_image3.png 54 600 media_image3.png Greyscale the confinement aperture and the polarization mode filter are configured to control a quantity of optical modes supported by the VCSEL and to lock a polarization of each optical mode supported by the VCSEL (Because there is no claimed structural difference between Wang and instant claim 1, Examiners find Wang’s confinement aperture and polarization structure are configured as claimed.) As to claim 2, Wang discloses “the confinement aperture is configured to reduce the quantity of optical modes supported by the VCSEL” because there is no claimed structural difference between Wang and the instant claim. As to claim 3, Wang discloses “a grating axis of the grating of the polarization mode filter is aligned with a symmetrical axis of the confinement aperture” at col.4:42 to col.5:6. As to claim 4, Wang discloses “the polarization mode filter is configured to lock a polarization of each optical mode supported by the VCSEL along the grating axis of the grating of the polarization mode filter and the symmetrical axis of the confinement aperture” at col.5:12-17. PNG media_image4.png 144 526 media_image4.png Greyscale As to claim 5, Wang discloses “a grating axis of the grating of the polarization mode filter is set at a non-zero angle to a symmetrical axis of the confinement aperture” at col.4:42 to col.5:6. As to claim 6, Wang discloses “the polarization mode filter is configured to lock a polarization of each optical mode supported by the VCSEL along the grating axis of the polarization mode filter and not along the symmetrical axis of the confinement aperture” at col.4:42 to col.5:6. As to claim 7, Wang discloses “the confinement layer is above a cavity region of the VCSEL, which is above a substrate of the VCSEL; and the polarization mode filter is above the confinement aperture” as shown in figure 4 above. Claim 8 is merely broader than claim 1. Thus, it is rejected for the same reason as claim 1. As to claim 9, Wang discloses “the confinement aperture is asymmetrical with respect to at least one axis of the confinement aperture” because Wang’s aperture is elliptically shaped. See col.4:54-58. As to claim 10, Wang discloses “the polarization mode filter includes a grating” at col.5:12-13. As to claim 11, this claim is rejected for the same reason as claim 4. As to claim 12, this claim is rejected for the same reason as claim 5. As to claim 13, this claim is rejected for the same reason as claim 6. As to claim 14, this claim is rejected for the same reason as claim 7. Claim 15 is merely broader than claim 1. Thus, it is rejected for the same reason as claim 1. As to claim 16, this claim is rejected for the same reason as claim 9. As to claim 17, this claim is rejected for the same reason as claim 10. As to claim 18, this claim is rejected for the same reason as claim 11. As to claim 19, Wang discloses “grating axes of the gratings of the polarization mode filters of the plurality of VCSELs are aligned with each other” at figure 10. As to claim 20, Wang discloses “the plurality of VCSELs are configured to emit respective laser beams that each have one or more optical modes with a same polarization” at figure 11. Conclusion 5. Any inquiry concerning this communication or earlier communications from the examiner should be directed to DEANDRA M HUGHES whose telephone number is (571)272-6982. The examiner can normally be reached Generally M-Th 8AM-6PM. 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, Hetul Patel can be reached at 571-272-4184. 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. Signed: /DEANDRA M HUGHES/Reexamination Specialist, Art Unit 3992
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Prosecution Timeline

Jan 22, 2024
Application Filed
Jul 13, 2026
Non-Final Rejection mailed — §102 (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

1-2
Expected OA Rounds
78%
Grant Probability
97%
With Interview (+18.2%)
2y 6m (~0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 190 resolved cases by this examiner. Grant probability derived from career allowance rate.

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