Prosecution Insights
Last updated: August 14, 2026
Application No. 18/425,706

INTEGRATED LASER MODULATOR WITH E-STOPPER LAYER

Non-Final OA §102
Filed
Jan 29, 2024
Priority
Dec 01, 2023 — provisional 63/605,222
Examiner
HUGHES, DEANDRA M
Art Unit
Tech Center
Assignee
Lumentum Technology (Uk) Limited
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
25 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. 29, 2024. These claims are grouped as follows: claims 1-9; claims 10-14; and claims 15-20. 2. The presumed effective filing date is May 28, 2018. Claim Rejections - 35 USC § 102 3. Claims 1, 3-5, 7-10, 12-13, 15, , 17, and 19-20, are rejected under 35 U.S.C. 102(a)(2) as being anticipated by US 2020/0403380 to Yamatoya et al. (“Yamatoya”). PNG media_image1.png 680 911 media_image1.png Greyscale As to claim 1, Yamatoya discloses an integrated laser modulator (fig. 17), comprising: a substrate (#1); a laser active region (#3) disposed on the substrate (#1); a modulator region (#23) disposed on the substrate (#1); and an e-stopper layer (#17; AlInAs) disposed on at least the laser active region (#21), wherein: the substrate (#1) and the laser active region (#3) are associated with an InGaAsP (¶[0033]) material system, the modulator region is associated with InGaAsP material system (¶[0033]; the claim term “associated with” is broadly construed. Because the modulator region is connected to the laser active region, which comprises InGaAsP, the modulator region is “associated with” InGaAsP), the e-stopper layer (#17) comprises AlInAs (¶[0059]), PNG media_image2.png 98 430 media_image2.png Greyscale the e-stopper layer (#17) is disposed greater than 100 nanometers away from a quantum element (#3) of the laser active region (#21), and (¶[0033]). the modulator region (#23) includes an end surface (side adjacent separation #22) that interfaces with an end surface of the laser active region (other side adjacent separation #22). As to claim 3, Yamatoya discloses: the substrate (#1) is an n-type substrate ; (¶[0061]) the laser active region (#21) comprises undoped InGaAsP (¶[0033]); and the e-stopper layer (#17) comprises undoped AlInAS (¶[0057]). As to claim 4, Yamatoya discloses “a doped layer that comprises p-doped InP is disposed on at least the e-stopper layer” because p-InP cladding layer (#5) is layer (#17), which reads on the “e-stopper layer.” As to claim 5, 13, and 17, Yamatoya discloses “an encapsulating layer (#5) comprising p-doped InP or undoped InP (¶[0033]) is disposed between the laser active region (#3) and the e-stopper layer (#17).” As to claim 7, Yamatoya discloses “the e-stopper layer (#17) includes a top surface and a bottom surface that are not oxidized” (¶[0047]). As to claim 8-9 and 20, the device of Yamatoya operates at the claimed spectral ranges because the device has the same structure as the claimed device. As to claim 10, Yamatoya discloses a photonic integrated circuit (PIC) (fig. 17), comprising: a laser active region (#3) disposed on a substrate (#1); a modulator region (#23) disposed on the substrate (#1); and an e-stopper layer (#17) disposed on at least the laser active region (#3), wherein the laser active region (#3) is associated with an InGaAsP material system (¶[0033]), the e-stopper layer (#17) comprises AlInAs (¶[0057]), and the e-stopper layer (#17) is disposed on a separate confinement heterostructure (SCH) layer (#3) of the laser active region (#3). As to claim 12, Yamatoya discloses “the laser active region (#3) comprises undoped InGaAsP (¶[0033]),; and the e-stopper layer (#17) comprises doped AlInAs” (¶[0057]. As to claim 15, Yamatoya discloses an optical device, comprising: an integrated laser modulator (fig. 17) that includes: a laser active region (#3); a modulator region (#23); and an e-stopper layer (#17) disposed on at least the laser active region (#3), wherein: the laser active region (#3) is associated with an InGaAsP material system, the e-stopper layer (#17) comprises AlInAs, and the e-stopper layer (#17) is disposed greater than 100 nanometers away from a quantum element (#3 is a quantum well; ¶[0033]) of the laser active region (#21) (¶[0033]). As to claim 19, Yamatoya discloses “the modulator region (#23) includes an end surface (side adjacent separation #22) that interfaces with an end surface of the laser active region (other side adjacent separation #22).” Allowable Subject Matter 4. Claims 2, 6, 11, 14, 16, 18 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. As to claims 2, 11, and 16, the prior art does not disclose or make obvious “the e-stopper layer is disposed on the modulator region” in combination with the other limitations of the claims. As to claims 6, 14, and 18, the prior art does not disclose or make obvious “an encapsulating layer comprising p-doped InP or undoped InP is disposed on the e-stopper layer” in combination with the other limitations of the claims. 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/Primary Examiner, Art Unit 3992
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Prosecution Timeline

Jan 29, 2024
Application Filed
Jul 22, 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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