Prosecution Insights
Last updated: July 17, 2026
Application No. 18/459,413

OPTICAL APPARATUS

Non-Final OA §103
Filed
Aug 31, 2023
Priority
Mar 04, 2021 — continuation of PCTJP2021008527
Examiner
JOSEPH, DENNIS P
Art Unit
2621
Tech Center
2600 — Communications
Assignee
Colorlink Japan Ltd.
OA Round
3 (Non-Final)
49%
Grant Probability
Moderate
3-4
OA Rounds
7m
Est. Remaining
67%
With Interview

Examiner Intelligence

Grants 49% of resolved cases
49%
Career Allowance Rate
324 granted / 664 resolved
-13.2% vs TC avg
Strong +18% interview lift
Without
With
+18.1%
Interview Lift
resolved cases with interview
Typical timeline
3y 6m
Avg Prosecution
43 currently pending
Career history
714
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
87.9%
+47.9% vs TC avg
§102
10.8%
-29.2% vs TC avg
§112
0.5%
-39.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 664 resolved cases

Office Action

§103
DETAILED ACTION 1. This Office Action is responsive to claims filed for App. 18/459,413 on November 11, 2025. Claims 1-20 are pending. America Invents Act 2. The present application is being examined under the pre-AIA first to invent provisions. Allowable Subject Matter 3. Claims 1-15 allowed. Claim 1 recites therein: “wherein the second holder has a hole portion and a groove portion that communicate with a space between the cover and the first transmissive/reflective surface and a space between the first transmissive/reflective surface and the second transmissive/reflective surface, and/or a gap with the cover.” To clarify, the closest cited prior art, Richards et al. ( US 2020/0096817 A1 ) teaches of an akin second holder (see Figure 4, lens housing fixture mount 215) which holds the second lens (interpreted as the first transmissive/reflective surface). However, Richards does not teach of the hole portion, groove portion and communication with a space and/or gap, as claimed. Claim Rejections - 35 USC § 103 4. 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. 5. The factual inquiries 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. 6. Claim 16-20 are rejected under 35 U.S.C. 103 as being unpatentable over Richards et al. ( US 2020/0096817 A1 ) in view of Gollier et al. ( US 2017/0358136 A1 ) and Yun et al. ( US 2017/0068029 A1 ). Please note Yun was cited in an Information Disclosure Statement. Richards teaches in Claim 16: An optical apparatus that generates a magnified virtual image of an image ( [0002] discloses aligning optics of a pancake lens display assembly. [0073] discloses details of the pancake lens magnifying image light and then presenting the image light ), the optical apparatus comprising: a display that outputs image light for forming the image ( Figure 1A, [0023] discloses a display 105 ); an optical system that magnifies the image, the optical system having a first transmissive/reflective surface and a second transmissive/reflective surface that are arranged on an eye point side and a display side, respectively, on an optical axis of the optical system ( Figure 1A, [0023] discloses a first and second lens (read the two combined as an optical system. Please note the second lens 115 with a reflective polarizer 135 (read the two as a first transmissive/reflective surface. [0023] discloses the transmissive and reflective abilities). Please note the first lens 110 with the partial reflector 125 (read the two as a second transmissive/reflective surface. [0024] discloses the transmissive and reflective abilities). Please note 115 is arranged on an eye-side and 110 is arranged on a display side, as shown in Figure 1A ), the first transmissive/reflective surface transmitting or reflecting at least a part of the image light ( Figure 1A, [0023] discloses being able to transmit a desired polarization state while reflecting other polarization states and this applies to the image light ), the second transmissive/reflective surface being an aspherical curved surface in which a change amount of a curved surface angle continuously increases or decreases according to a distance from a center, and transmitting or reflecting at least a part of the image light ( Figure 4, [0039] discloses the first lens 405 with an aspherical curved surface. In general, [0023] discloses the lens can be of various shapes, notably for 110 and 115. Please note [0031] which focuses on angles between a first orientation axis of the quarter-wave plate (QWP) between the first orientation axis and the second orientation axis. The ranges of angles is adjusted to minimize artifacts and is based on the distance between the lens and display ); but Richards does not explicitly teach of “a moving device that moves the first transmissive/reflective surface along the optical axis with respect to the second transmissive/reflective surface, wherein a field curvature is adjustable responsive to changes in air distance between the first transmissive/reflective surface and the second transmissive/reflective surface”. Initially, Richards teaches of moving the first lens 405 (the interpreted second transmissive/reflective surface) using an alignment system (read as a moving device), but not necessarily the second lens (the interpreted first transmissive/reflective surface). However, in the same field of endeavor, pancake lens blocks, Gollier teaches of a block 202, ( Gollier, Figure 2, [0023] ). Notably, please note the similarities of Richards first and second lens to Gollier’s back optical element 206 and front optical element 204, respectively. Gollier teaches in [0041] of a varifocal actuation block 606 (similar to the alignment system of Richards) which can physically change the distance between the two optical elements of the pancake lens block by applying a force to ONE of the back optical element 206 or the front optical element 204. One of ordinary skill in the art would realize either element could be moved relative/with respect to the other element, while the other element remains fixed. As combined, Richards can move the second lens and reflective polarizer (the interpreted first transmissive/reflective surface) with respect to the first lens/back optical element. Furthermore, with respect to the field curvature being adjustable, Richards teaches in Figure 4, [0039] of the holding prongs which hold the first lens at a distance delta z from a location, to be mounted, while rotating the first lens to identify the angle. Richards, and especially in combination of Gollier, who teaches to adjust the distance (air distance) between the two lens/optical aspects, teaches to adjust the visual image which is output (read as a field curvature being adjustable) based on the distance between these two lens. Therefore, it would have been obvious to one of ordinary skill in the art, at the effective filed date of the invention, to implement the changing of physical distance between the two lens elements, notably using the eye-side lens, as taught by Gollier, with the motivation that this keep the user’s eyes in a zone of comfort, ( Gollier, [0005] ). Richards and Gollier may not explicitly teach wherein “the aspherical curved surface changes a light flux condensed position around a screen of the display with respect to a light flux condensed position at the screen center, in response to the chances in the air distance between the first transmissive/reflective surface and the second transmissive/reflective surface; and the air distance is based on a preset diopter for a user.” However, in the same field of endeavor, optical systems, Yun teaches of an optical system 100 with multiple optical stacks, similar to the lenses structure of Richard, ( Yun, Figure 1, [0064] ). Notably, Yun teaches in [0064] of being able to adjust the positions of the first and second aspherical optical stacks 110 and 120 to allow for dioptric correction. [0065] discloses this correction is for the desired prescription correction for the user (read as based on a preset diopter of the user). By adjusting the stack distances, the light rays emitted by the image surface 130 can converge or diverge at the stop surface 135, along the center point. Using a condenser lens for these optical stacks ( [0181] ), it is clear that based on the adjustment in distance, the light flux changes “around a screen of the display” with respect to condensed position at the screen center, which Yun teaches in Figure 1. Respectfully, it is clear that when the distances are changed, the “light flux” is changed (this term is not well defined). Therefore, it would have been obvious to one of ordinary skill in the art, at the effective filed date of the invention, to implement the varying distances based on the diopter of the user, as taught by Yun, with the motivation that it can provide adjustable dioptric correction, ( Yun, [0022] ). Richards and Gollier teach in Claim 17: The optical apparatus according to claim 16, wherein the moving device maintains a relative positional relationship between the display and the second transmissive/reflective surface, and moves the first transmissive/reflective surface. ( Richards teaches of an alignment system and Gollier teaches of a varifocal actuator, both examples of a moving device. As combined, the front optical element 204 of Gollier (akin to the second lens of Richards) can move while the back optical element 206 (akin to the first lens of Richards) can be maintained, also with regards to the position of the display, which faces the first lens ) Richards teaches in Claim 18: The optical apparatus according to claim 16, wherein the first transmissive/reflective surface is a polarizing element that reflects one of linearly polarized lights orthogonal to each other and transmits the other. ( Figure 1A, [0023] discloses details of the reflective polarizer 135. [0040] discloses details on the orthogonal aspects as well as [0024] which notes light 145 is incident on 135, which reflects light in the X direction while transmitting light in a perpendicular direction, Y direction, i.e. orthogonal ) Richards teaches in Claim 19: The optical apparatus according to claim 16, wherein the second transmissive/reflective surface is a half mirror surface. ( Figure 4, [0004] discloses a first lens which is a 50/50 mirror and in general, [0023] discloses a variety of shapes. As such, Figure 4 shows a half mirror surface, though it is clear Richards suggest a variety of surfaces as well ) Richards teaches in Claim 20: The optical apparatus according to claim 16, wherein the optical system further has a lens element ( Figure 1A shows first and second lens 110 and 115, respectively ), and the second transmissive/reflective surface is provided on one surface of the lens element on the display side. ( Figure 1A shows the first lens is provided on the display side. Figure 4 shows the half mirror aspect also on the display side ) Response to Arguments 7. Applicant’s arguments considered, but are respectfully moot in view of new grounds of rejection(s). Please note the updated rejection in light of the claim amendments, focusing on Yun. As a result, Applicant’s arguments are moot at this time. Conclusion 8. Any inquiry concerning this communication or earlier communications from the examiner should be directed to DENNIS P JOSEPH whose telephone number is (571)270-1459. The examiner can normally be reached Monday - Friday 5:30 - 3:30 EST. 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, Amr Awad can be reached at 571-272-7764. 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. /DENNIS P JOSEPH/Primary Examiner, Art Unit 2621
Read full office action

Prosecution Timeline

Show 2 earlier events
Nov 11, 2025
Response Filed
Nov 28, 2025
Final Rejection mailed — §103
Jan 25, 2026
Interview Requested
Feb 06, 2026
Applicant Interview (Telephonic)
Feb 06, 2026
Examiner Interview Summary
Mar 02, 2026
Request for Continued Examination
Mar 02, 2026
Response after Non-Final Action
Jun 10, 2026
Non-Final Rejection mailed — §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

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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
49%
Grant Probability
67%
With Interview (+18.1%)
3y 6m (~7m remaining)
Median Time to Grant
High
PTA Risk
Based on 664 resolved cases by this examiner. Grant probability derived from career allowance rate.

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