Prosecution Insights
Last updated: April 18, 2026
Application No. 18/476,421

COATED CARBON MATERIAL, NEGATIVE ELECTRODE AND SECONDARY BATTERY

Non-Final OA §102§103§112
Filed
Sep 28, 2023
Examiner
NGUYEN, KEVIN NMN
Art Unit
1752
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Mitsubishi Chemical Corporation
OA Round
1 (Non-Final)
84%
Grant Probability
Favorable
1-2
OA Rounds
3y 3m
To Grant
99%
With Interview

Examiner Intelligence

Grants 84% — above average
84%
Career Allow Rate
41 granted / 49 resolved
+18.7% vs TC avg
Strong +17% interview lift
Without
With
+17.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
43 currently pending
Career history
92
Total Applications
across all art units

Statute-Specific Performance

§103
66.4%
+26.4% vs TC avg
§102
19.3%
-20.7% vs TC avg
§112
12.0%
-28.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 49 resolved cases

Office Action

§102 §103 §112
DETAILED 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. Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. Information Disclosure Statement The information disclosure statements (IDSs) submitted on 12/28/2023, 04/08/2025, 06/24/2025, 08/28/2025, and 12/10/2025 are in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statements are being considered by the examiner. Specification The specification filed on 09/28/2023 was reviewed and is acceptable. 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. Claim(s) 11 is/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 11 recites the limitation “ mixing a carbon material ” in line 4 . It is unclear whether “a carbon material” refers to the previously stated carbon material or a new carbon material . For purposes of this Office Action, it will be assumed that “a carbon material” refers to the previously stated carbon material . Appropriate correction is required. Claim Rejections - 35 USC § 102 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 (i.e., changing from AIA to pre-AIA) 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. The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claim(s) 1-4 and 9-13 is/are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Uemura et al. ( US 20140107275 A1 , hereinafter Uemura ) . Regarding Claim 1, Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ) where a carbon material (Uemura , graphite active material , [0224] ) is coated with a coating film (Uemura , Coating Agent Composition for Battery Electrode , [0225] , wherein the coating film comprises at least one selected from the following compound (X) (X) an acetoacetyl group-containing resin (Uemura , the coating agent composition for battery electrode comprises aqueous emulsion of a synthetic resin obtained by polymerizing a copolymerizable monomer having an acrylic monomer as a main component, wherein the acrylic monomer as well as an acetoacetyl group-containing monomer are copolymerized in the emulsion polymerization from the viewpoint of obtaining excellent adhesion to a battery electrode, [ 0047 ] ). Regarding Claim 2 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the carbon material is graphite (Uemura , graphite active material , [ 0224 ] ) . Regarding Claim 3 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein a basal plane of the carbon material is coated with the coating film (Uemura , at least one side of the electrode can be coated or impregnated with the coating agent composition for battery electrode , [0185] ; the Examiner notes that the electrode can be coated on multiple sides, which would include the basal plane, as claimed) . Regarding Claim 4 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the coating film comprises the compound (X) (Uemura , the coating agent composition for battery electrode comprises an aqueous emulsion of a synthetic resin obtained by polymerizing a copolymerizable monomer having an acrylic monomer as a main component, and it is preferred that the acrylic monomer as well as an acetoacetyl group-containing monomer are copolymerized in the emulsion polymerization from the viewpoint of obtaining excellent adhesion to a battery electrode or separator , [ 0047, 0053 ] ) . Regarding Claim 9 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the coating film further comprises a boron element- containing compound (Uemura , the coating agent composition for battery electrode can further comprise inorganic particles or filler having an active hydrogen group. Specific examples of inorganic particles or fillers having an active hydrogen group include borides, such as boron nitride, titanium boride, and boron oxide , [0143] ) . Regarding Claim 10 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the boron element-containing compound is at least one compound selected from boron oxide (Uemura , the coating agent composition for battery electrode can further comprise inorganic particles or filler having an active hydrogen group. Specific examples of inorganic particles or fillers having an active hydrogen group include borides, such as boron nitride, titanium boride, and boron oxide , [ 0143 ] ) . Regarding Claim 11 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a method for producing a coated carbon material where a carbon material is coated with a coating film (Uemura , a method is described in which a lithium-ion secondary battery is produced using an electrode having a negative electrode coated with the coating agent composition for battery electrode , [0229] ) , the method comprising mixing a carbon material with the following compound (X) ( Uemura , the above-prepared coating agent composition for battery electrode or separator was applied to the above-obtained negative electrode comprising of a graphite negative electrode active material by means of a gravure coater , [ 0224- 0226 ] ; the Examiner notes that coating the negative electrode active material would require mixing of the negative electrode active material and coating ), (X) an acetoacetyl group-containing resin (Uemura , the coating agent composition for battery electrode comprises aqueous emulsion of a synthetic resin obtained by polymerizing a copolymerizable monomer having an acrylic monomer as a main component, wherein the acrylic monomer as well as an acetoacetyl group-containing monomer are copolymerized in the emulsion polymerization from the viewpoint of obtaining excellent adhesion to a battery electrode, [ 0047 ] ). Regarding Claim 12 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a negative electrode comprising a current collector and an active material layer formed on the current collector, wherein the active material layer comprises the coated carbon material (Uemura , the active material was applied to a rolled copper foil current collector, and a coating agent composition for battery electrode or separator was applied to the negative electrode , [ 0224-0226 ]). Regarding Claim 13 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a secondary battery comprising a positive electrode, a negative electrode, and an electrolyte, wherein the negative electrode is the negative electrode (Uemura , a lithium-ion battery comprising a positive electrode and the negative electrode coated with the battery electrode coating agent composition, and a separator impregnated with an electrolytic solution , [ 0228 ] . Claim Rejections - 35 USC § 103 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 (i.e., changing from AIA to pre-AIA) 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. 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. 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. 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. Claim ( s ) 5-8 is/are rejected under 35 U.S.C. 103 as being unpatentable over Uemura et al. ( US 20140107275 A1 , hereinafter Uemura ), as applied to Claim 1 above, and in view of Sannan et al. ( US 20110091771 A1 , hereinafter Sannan ) . Regarding Claim 5, Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ). Uemura is silent regarding the acetoacetyl group-containing resin contains a hydroxyl group. Sannon discloses a coated carbon material (Sannon , coating formulation , Abstract ), wherein the acetoacetyl group-containing resin contains a hydroxyl group (Sannon , coating formulations contains an organic acid and a hydroxyl-containing resin, which may be at least one of a modified polyvinyl alcohol, wherein the modified polyvinyl alcohol is at least one selected from acetoacetyl-modified polyvinyl alcohols , [ 0011- 0015 ]) . Sannon teaches that the organic acid acts as a crosslinking agent for the hydroxyl-containing resin during heating and drying, the coating formed of the hydroxyl-containing resin becomes no longer soluble or swellable in an organic solvent or electrolyte, and therefore, the coating may have excellent adhesion to the surface of the electrode and excellent solvent resistance can be formed (Sannon , [ 0024 ] ). Uemura and Sannon are analogous to the current invention as they are both directed towards a coating material for a battery electrode. Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to include an acetoacetyl-modified polyvinyl alcohols and organic acid of Sannon in the coating agent composition of Uemura, in order to improve the adhesion and solvent resistance of the coating material. Regarding Claim 6 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the acetoacetyl group-containing resin is a polyvinyl alcohol-based resin containing an acetoacetyl group (Sannon , coating formulations contains an organic acid and a hydroxyl-containing resin, which may be at least one of a modified polyvinyl alcohol, wherein the modified polyvinyl alcohol is at least one selected from acetoacetyl-modified polyvinyl alcohols , [ 0011-0015 ]) . Regarding Claim 7 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the coating film comprises the crosslinked (Sannon , the organic acid acts as a crosslinking agent for the hydroxyl-containing resin during heating and drying , [ 0024 ] ) product of the compounds (Y) (Sannon , coating formulations contains an organic acid and a hydroxyl-containing resin, which may be at least one of a modified polyvinyl alcohol, wherein the modified polyvinyl alcohol is at least one selected from acetoacetyl-modified polyvinyl alcohols , [ 0011-0015 ]) . . Regarding Claim 8 , Uemura discloses all of the claim limitations as set forth above. Uemura discloses the limitations regarding a coated carbon material (Uemura , Negative Electrode Coated with the Coating Agent Composition for Battery Electrode or Separator , [ 0225 ] ), wherein the polyvinyl alcohol-based resin contains an acetoacetyl group (Sannon , coating formulations contains an organic acid and a hydroxyl-containing resin, which may be at least one of a modified polyvinyl alcohol, wherein the modified polyvinyl alcohol is at least one selected from acetoacetyl-modified polyvinyl alcohols , [ 0011-0015 ]) . Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure: US 20180026303 A1 discloses a coating formed on the surface of an electrode active material comprising amines having an acetoacetyl group [ 0025 ]. Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT KEVIN NGUYEN whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (703)756-1745 . The examiner can normally be reached FILLIN "Work Schedule?" \* MERGEFORMAT Monday-Thursday 9:50 - 7:50 ET . 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, FILLIN "SPE Name?" \* MERGEFORMAT NICHOLAS A SMITH can be reached at FILLIN "SPE Phone?" \* MERGEFORMAT (571) 272-8760 . 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. /K.N./ Examiner, Art Unit 1752 /OSEI K AMPONSAH/ Primary Examiner, Art Unit 1752
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Prosecution Timeline

Sep 28, 2023
Application Filed
Mar 30, 2026
Non-Final Rejection — §102, §103, §112 (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
84%
Grant Probability
99%
With Interview (+17.0%)
3y 3m
Median Time to Grant
Low
PTA Risk
Based on 49 resolved cases by this examiner. Grant probability derived from career allow rate.

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