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 .
DETAILED ACTION
Claims 1-10 of J. Hu et al., US 18/496,131 (Oct. 27, 2023) are pending and are rejected.
Election of Species
Pursuant to the election of species requirement issued June17, 2026, with respect to claim5, Applicant was required to elect one of (1), (2) or (3) below:
(1) Formula A, and indicate a species of formula A selected from claim 8;
(2) Formula B; or
(3) Formula C, and indicate a species of formula C selected from claim 10.
In the Reply filed on August 3, 2026, Applicant elected, without traverse, the compound of Formula (4), Applicant elected compound B, for prosecution on the merits to which the claims shall be restricted if no generic claim is finally held to be allowable. The elected species of Formula B was searched and determined to be unpatentable per § 103. The search/examination was not further extended to Formula A or Formula C. MPEP § 803.02 (III)(C)(2). The provisional election of species requirement is given effect with respect to a compound B and no claims are withdrawn from consideration as not reading on the elected species. MPEP § 803.02(III)(A).
Claim Interpretation
Examination requires claim terms first be construed in terms in the broadest reasonable manner during prosecution as is reasonably allowed to establish a clear record of what applicant intends to claim. See, MPEP § 2111. Under a broadest reasonable interpretation, words of the claim must be given their plain meaning, unless such meaning is inconsistent with the specification. See MPEP § 2111.01.
Interpretation of the Claim 1 Device Structure
In view of the plain language of claim 1, the claim 1 device is diagrammed below.
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Claim Objections
Claim 5 is objected to for clarity respecting the recitation of:
Claim 5 . . . R4 is an alkyl of C1-C4, and at least one hydrogen in the alkyl of C1-C4 is substituted or unsubstituted with a deuterium atom or a fluorine atom . . .
This language is awkward because it is not possible that a hydrogen can be “unsubstituted with a deuterium atom or a fluorine atom”. Claim 5 should be amended clarify the substitution intended, for example.
Claim 5 . . . R4 is an alkyl of C1-C4, and optionally at least one hydrogen in the alkyl of C1-C4 may be substituted
Claim Rejections - 35 USC § 102 (AIA )
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.
§102(a)(1) Rejection over Q. Chao et al., CN111548278B (2020) (“Chao-1”)
Claims 1-4 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Q. Chao et al., CN111548278B (2020) (“Chao-1”). Chao-1 is attached to this Office action (PTO-892) as a first English-translation portion (Google Translate) and a second Chinese-language portion; 88 total pages, where pages are referenced in the format xx of 88.
Chao-1 teaches an organic electroluminescent device comprises: an anode, a hole injection layer, a hole transport layer, a light-emitting layer, and an electron transport layer, where the device comprises an anode, an electron injection layer, and a cathode, wherein any one of the hole injection layer, hole transport layer, light-emitting layer, electron transport layer, and electron injection layer. Chao-1 at page 20 of 88, [0039]. Chao-1 teaches that the hole transport layer contains at least one of the novel organic electroluminescent compounds mentioned above. Chao-1 at page 20 of 88, [0040]. Per Chao-1 Figure 1, the Chao-1 organic electroluminescent device meets every limitation of claim 1. See Chao-1 at page 20 of 88, [0046]-[0047] (referencing Figure 1).
Chao-1 teaches a listing of compounds for use in the hole transport layer, including compound 5 depicted below:
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Compound 5 meets the structural limitations of claim 1, formula 1.
In Application Example 1, Chao-1 teaches construction of an organic electroluminescent device consisting of a hole injection layer (HIL) deposited on top of the ITO anode substrate; hole transport layer (HTL) of the compound prepared in Example 1 (i.e., compound 5)1, above the hole injection layer; where ADN is used as the main blue light material, and BD-1 is used as the blue light dopant to form a light-emitting layer on the hole transport layer, PDB forms an electron transport layer on the light emitting layer; and an electron injection layer is deposited on the electron transport layer and Mg/Ag where used as the cathode. Chao-1 at page 39 of 88, [0178]-[0184]. The device of Application Example 1 meets every limitation of the device of claim 1.
The structural limitations of claims 2-4 are met by Chao-1 compound 5 and claims 2-4 are anticipated. Chao-1 compound 5 is the same compound as the third-listed compound of claim 4.
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, 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 AIA 35 U.S.C. 103(a) 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.
Claims 1-10 are under AIA 35 U.S.C. 103 as being unpatentable over Q. Chao et al., CN111548278B (2020) (“Chao-1”) in view of Q Chao et al., CN 113999220A (Feb. 1, 2022) (“Chao-2) and Wang et al., US 2022/0359832 (2022) (“Wang”).
Q. Chao et al., CN111548278B (2020) (“Chao-1”)
Chao-1 teaches an organic electroluminescent device comprises: an anode, a hole injection layer, a hole transport layer, a light-emitting layer, and an electron transport layer, where the device comprises an anode, an electron injection layer, and a cathode, wherein any one of the hole injection layer, hole transport layer, light-emitting layer, electron transport layer, and electron injection layer. Chao-1 at page 20 of 88, [0039]. Chao-1 teaches that the hole transport layer contains at least one of the novel organic electroluminescent compounds mentioned above. Chao-1 at page 20 of 88, [0040]. Per Chao-1 Figure 1, the Chao-1 organic electroluminescent device meets every limitation of claim 1. See Chao-1 at page 20 of 88, [0046]-[0047] (referencing Figure 1).
Chao-1 teaches a listing of compounds for use in the hole transport layer, including compound 5 depicted below:
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Chao-1 compound 5 meets the structural limitations of formula 1 in instant claims 1-10.
In Application Example 1, Chao-1 teaches construction of an organic electroluminescent device consisting of a hole injection layer (HIL) deposited on top of the ITO anode substrate2; hole transport layer (HTL) of the compound prepared in Example 1 (i.e., compound 5), above the hole injection layer; where ADN is used as the main blue light material, and BD-1 is used as the blue light dopant to form a light-emitting layer on the hole transport layer, PDB forms an electron transport layer on the light emitting layer; and an electron injection layer is deposited on the electron transport layer and Mg/Ag where used as the cathode. Chao-1 at page 39 of 88, [0178]-[0184]. The device of Application Example 1 meets every limitation of the device of claims 1-10.
Differences between Chao-1 and the Claims
As discussed above, Chao-1 anticipates claims 1-4.
Chao-1 differs from claims 5-10 because Chao-1, Application Example 1 does not employ a compound of formula A, B, or C as the hole injection layer. Rather, although not clearly stated, Chao-1 Application Example 1, appears to employ HAT-CN as the hole-injection layer.
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Q Chao et al., CN 113999220A (Feb. 1, 2022) (“Chao-2)
Chao-2 is attached to this Office action (PTO-892) as a first English-translation portion (Google Translate) and a second Chinese-language portion; 88 total pages, where pages are referenced in the format xx of 88.
Chao-2 discloses that benzo[ phenanthrene] furan compound of Formula 1 is useful in the electron injection layer of organic electroluminescent devices. Chao-2 at page 12 of 88, [0007]-[0011]; Chao-2 at page 22 of 88, [0035].
Chao-2 teaches that Figure1 is a schematic diagram of the structure of the organic electroluminescent device of the present invention. Chao-2 at page 23 of 88, [0060]. The numbers in the figure represent: 1-anode, 2-hole injection layer, 3-first hole transport layer, 4-second hole transport layer, 5-light emission layer, 6-hole blocking layer, 7-electron transport layer, 8-electron injection layer, 9-cathode. Chao-2 at page 24 of 88, [0061]. Per Chao-2 Figure 1, the Chao-2 organic electroluminescent device meets every limitation of claims 1-10.
In Application Example 1, Chao-2 teaches construction of an organic electroluminescent device where a hole injection layer (HIL) is formed on an ITO anode by HT-1 doped with 3% wt NDP-9. Chao-2 at page 38 of 88, [0174]-[0175].
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Next, a first hole transport layer (HTL) is formed by depositing HT-1 above the hole injection layer (HIL); and a second hole transport layer (RPL) is formed above the first hole transport layer; compound 4 and P-10 (compounds of the invention) were co-deposited on the second hole transport layer (RPL) to form a light-emitting layer; HB-1 was deposited onto the light-emitting layer to obtain a hole blocking layer (HBL); ET-1 and LiQ were co-deposited onto the hole blocking layer (HBL) to obtain an electron transport layer; magnesium (Mg) and silver (Ag) are vapor-deposited onto the electron transport layer (ETL) to form an electron injection layer (Ell); and finally, silver (Ag) was deposited onto the electron injection layer to form a cathode. Chao-2 at page 38 of 88, [0176]-[0182]. The organic electroluminescent device of Chao-2, Application Example 1 meets every device limitation of claims 1-10.
Differences between Chao-2 and the Claim 5
With respect to claim 5, Chao-2 teaches NDP-9 (the claim 5 compound B) in the hole injection layer in combination with HT-1.
Thus, Chao-2 differs from claim 5 only in that Chao-2’s compound HT-1 is a methyl homolog of claim 1, formula 1; that is HT-1 does not meet the claim 1 limitation of “R1-R5 are not hydrogen at the same time”. Note particularly that HT-1 differs from the third-listed compound of claim 4 simply by a methyl group on the phenyl ring.
Wang et al., US 2022/0359832 (2022) (“Wang”)
Wang teaches that a combination of a first compound of Formula 1 and a second compound of Formula 2 may be used in the hole injection layer of an organic electroluminescent device. Wang at page 5, [0049].
In the portion relevant to the instant § 103 rejection, Wang teaches that to obtain a better hole injection effect, the hole transporting material (such as arylamine compounds) of the hole injection layer is often doped with a certain proportion of p-type doping materials where, common p-type doping materials include Chao-2’s NPD-9:
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(NPD-9)
Wang at pages 2-3, [0011]. The above compound (Chao-2’s compound NPD-9) is claim 5, formula B.
Obviousness Rationale
Claims 5-10 are obvious because one of ordinary skill is motivated to modify the device of Chao-1, Application Example 1 by substituting HAT-CN with NPD-9 (the claim 5 compound of formula B), in the device’s hole injection layer, thereby arriving at the combination of Chao-1 compound 5 (the 3rd species of instant claim 4) and NPD-9 (claim 5 compound B) in the hole injection layer, and meeting every limitation of claim 5. Note that while claims 6-10 (dependent upon claim 5) further limit the scope of claim 5 compound A and compound C, they still incorporate the alternative of claim 5 compound B (Chao-2’s compound NDP-9). See § 35 U.S.C. 112(d). Thus, the limitations of claims 6-10 are also met.
One of ordinary skill is so motivated because in Application Example 1, Chao-2 teaches NPD-9 functions efficiently in the hole injection layer of the same device with HT-1, and compound HT-1 is a methyl homolog of claim 1, formula 1. As such, one of ordinary skill would reasonably expect that Chao-1 compound 5 would efficiently function in combination with NPD-9, in the hole injection layer, as does the combination of HT-1 and NPD-9. Compounds which are homologs (compounds differing regularly by the successive addition of the same chemical group, e.g., by -CH2- groups) are generally of sufficiently close structural similarity that there is a presumed expectation that such compounds possess similar properties. MPEP § 2144.09(II); In re Shetty, 195 USPQ 753, 756 (CCPA 1977). One of ordinary skill is further motivated because Wang teaches generally that to obtain a better hole injection effect, the hole transporting material (such as arylamine compounds) of the hole injection layer is often doped with a certain proportion of p-type doping materials where, common p-type doping materials include Chao-2’s NPD-9. Wang at pages 2-3, [0011]. Claims 5-10 are therefore obvious in view of Chao-1
The above rationale, of course, meets the broader scope of claim 1-4.
Conclusion
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ALEXANDER R. PAGANO
Examiner
Art Unit 1692
/ALEXANDER R PAGANO/Primary Examiner, Art Unit 1692
1 Per Table 2, compound 5 was employed as the hole transport layer of above organic electroluminescent device.
2 It appears that Chao-1 employs HAT-CN in the hole injection layer.
Prosecution Insights