Prosecution Insights
Last updated: April 19, 2026
Application No. 18/574,631

OPTICAL CONNECTOR, OPTICAL CONNECTOR CONNECTING STRUCTURE, AND OPTICAL PACKAGING CIRCUIT

Non-Final OA §103
Filed
Dec 27, 2023
Examiner
PENG, CHARLIE YU
Art Unit
2874
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Hakusan Inc.
OA Round
1 (Non-Final)
75%
Grant Probability
Favorable
1-2
OA Rounds
2y 6m
To Grant
88%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allow Rate
878 granted / 1166 resolved
+7.3% vs TC avg
Moderate +13% lift
Without
With
+13.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
34 currently pending
Career history
1200
Total Applications
across all art units

Statute-Specific Performance

§101
1.1%
-38.9% vs TC avg
§103
46.9%
+6.9% vs TC avg
§102
31.7%
-8.3% vs TC avg
§112
15.0%
-25.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1166 resolved cases

Office Action

§103
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 . 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. 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. Claim(s) 1, 2, 4-7 is/are rejected under 35 U.S.C. 103 as being unpatentable over JP 2017161831 A patent publication (‘the 831 publication, cited in IDS) in view of U.S. PGPub 2014/0321814 by Chen et al. Regarding claim 1, the ‘831 publication discloses an optical connector (Figs. 1, 2) comprising: a first ferrule (10A) including a first end surface (right surface, Fig. 2) provided with optical fiber insertion holes (16) into which optical fibers (3a) are inserted, and with a pair of guide pin insertion holes (28a, 28b) into which a pair of guide pins (5a, 5b) are inserted; a plate-shaped lens holding member (23); and a spacer (30) provided on an opposite side (left side) of a first end surface of the lens holding member (23), wherein the lens holding member (23) includes a member main body (Fig. 3, with end faces 24, 25, 26) and GRIN lenses (collimating GRIN lens 21) provided on the member main body, wherein the spacer (30) includes a light guide portion (opening 34, Fig. 4) that allows light transmitted through the GRIN lenses to pass, and wherein the GRIN lenses are optically coupled to the optical fibers (each of the GRIN collimating lenses 21 is coupled with one the optical fibers 3a as illustrated in Fig. 2). The ‘831 publication does not disclose whether the plate-shaped lens holding member is bonded to the first end surface of the first ferrule via a refractive index matching adhesive layer. Chen also teaches an optical connector comprising a lens plate (30), a ferrule body (11) having a first end surface (facing the lens plate 30), wherein the plate-shaped lens holding member (30) is bonded to the first end surface of the first ferrule (11) via a refractive index matching adhesive layer (medium 42 that substantially matches the refractive index of the lens plate 30 and optical fibers 51 held in the ferrule 11). The medium 42 not only converts light between the optical fiber 51 and the lens plate 30 in an efficient manner, but also functions to fix the lens plate to the ferrule body 11, and has a refractive index matching adhesive such as epoxy. It would have been obvious to one having ordinary skill in the art, before the effective filing date of the claimed invention, to modify the invention disclosed in the ‘831 publication, by using the index-matching adhesive between the plate-shaped lens holding member (23) and the first ferrule (10A), as suggested by Chen and for the same reasons stated by Chen. Regarding claim 2, the ‘831 publication further discloses that although the light guide part formed in the spacer 30 showed the example which is the opening 34, it is not limited to this. The light guide section may be a medium having a constant refractive index, and may be formed of a light transmissive material, e.g., glass, which is among the most commonly used light transmissive material, has a refractive index of ~1.5, and it would have been obvious to one having ordinary skill in the art, before the effective filing date of the claimed invention, to modify the invention disclosed in the ‘831 publication, by selecting glass as the medium for the light guide part of the spacer (30), as one of a finite number of identified, predictable solutions with reasonable expectation of success. Regarding claim 4, the ‘831 publication further discloses the spacer (30) includes a frame body (30a), and the frame body includes two or more flow paths (recessed 35a, 35b). It is noted that the claim does not specify what’s flown in the path, materials including index-matching adhesive may be flown into the recess between the spacer and the lens holding member for the same reason as between the lens holding member and the ferrule. Regarding claim 5, Chen further suggests that wherein the first end surface of the first ferrule and/or the member main body of the lens holding member is provided with a refractive index matching adhesive resin pool concave portion (reservoir 37, in order to improve the application of the medium 42 that fills the gap 41 between the ferrule body 11 and the lens plate 30). Regarding claim 6, the ‘831 publication discloses an optical connector connecting structure comprising: a first ferrule (10A) including a first end surface provided with optical fiber insertion holes (16) into which optical fibers (3a) are inserted, and with a pair of guide pin insertion holes (28a, 28b) into which a pair of guide pins (5a, 5b) are inserted; a plate-shaped lens holding member (23); a second optical connector (containing a second ferrule 10B) disposed to be opposed to the first end surface of the first ferrule; and a spacer (30) including a light guide portion (34) disposed between the lens holding member (23) and the second optical connector, the light guide portion being configured to allow light to pass between the lens holding member and the second optical connector, wherein the lens holding member includes a plate-shaped member main body (defined by surface 24, 25, 26) and GRIN lenses (21) provided on the member main body, and wherein the GRIN lenses are aligned with an end surface of the optical fibers inserted into the optical fiber insertion holes (Fig. 2). The ‘831 publication does not disclose whether the plate-shaped lens holding member is bonded to the first end surface of the first ferrule via a refractive index matching adhesive layer. Chen also teaches an optical connector comprising a lens plate (30), a ferrule body (11) having a first end surface (facing the lens plate 30), wherein the plate-shaped lens holding member (30) is bonded to the first end surface of the first ferrule (11) via a refractive index matching adhesive layer (medium 42 that substantially matches the refractive index of the lens plate 30 and optical fibers 51 held in the ferrule 11). The medium 42 not only converts light between the optical fiber 51 and the lens plate 30 in an efficient manner, but also functions to fix the lens plate to the ferrule body 11, and has a refractive index matching adhesive such as epoxy. It would have been obvious to one having ordinary skill in the art, before the effective filing date of the claimed invention, to modify the invention disclosed in the ‘831 publication, by using the index-matching adhesive between the plate-shaped lens holding member (23) and the first ferrule (10A), as suggested by Chen and for the same reasons stated by Chen. Regarding claim 7, the ‘831 publication further discloses the second optical connector includes a second ferrule (10B) including a second end surface (its left surface, Fig. 2), and wherein the second end surface of the second ferrule is provided with optical fiber insertion holes (16) into which optical fibers (3a) are inserted, and with a pair of guide pin insertion holes (28a, 28b) into which a pair of guide pins (5a, 5b) are inserted. Claim(s) 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over JP 2017161831 A patent publication (‘the 831 publication, cited in IDS) in view of U.S. PGPub 2014/0321814 by Chen et al. and further in view of WO 2007046221 A1 patent publication by Hayase et al. Regarding claim 8, the ‘831 publication discloses an optical connector comprising a first ferrule (10A) including a first end surface (right end surface, Fig. 2) provided with optical fiber insertion holes (16) into which the optical fibers (3a) are inserted, and with a pair of guide pin insertion holes (28a, 28b) into which a pair of guide pins (5a, 5b) are inserted; and a plate-shaped lens holding member (23), wherein the lens holding member includes a member main body (having surfaces 24, 25, 26) and GRIN lenses (21) provided on the member main body, and wherein the GRIN lenses are aligned with end surfaces of the optical fibers inserted into the optical fiber insertion holes (Fig. 2). The ‘831 publication does not disclose whether the plate-shaped lens holding member is bonded to the first end surface of the first ferrule via a refractive index matching adhesive layer. Chen also teaches an optical connector comprising a lens plate (30), a ferrule body (11) having a first end surface (facing the lens plate 30), wherein the plate-shaped lens holding member (30) is bonded to the first end surface of the first ferrule (11) via a refractive index matching adhesive layer (medium 42 that substantially matches the refractive index of the lens plate 30 and optical fibers 51 held in the ferrule 11). The medium 42 not only converts light between the optical fiber 51 and the lens plate 30 in an efficient manner, but also functions to fix the lens plate to the ferrule body 11, and has a refractive index matching adhesive such as epoxy. It would have been obvious to one having ordinary skill in the art, before the effective filing date of the claimed invention, to modify the invention disclosed in the ‘831 publication, by using the index-matching adhesive between the plate-shaped lens holding member (23) and the first ferrule (10A), as suggested by Chen and for the same reasons stated by Chen. The ’831 publication further does not disclose using the optical fiber with a refrigerated electronic component. Hayase teaches discloses an optical packaging circuit (optoelectronic device 10) comprising: a refrigerant tank (via a shielding member 4 and a sealing gasket 1 on a PCB 3) containing refrigerant (5); and an electronic component (LSI module 91), the electronic component being immersed in the refrigerant contained in the refrigerant tank (Fig. 4b), wherein an optical connector (21) to be connected to the electronic component (via optical elements 92 and electrical connections provided by the PCB 3). It would have been obvious to one having ordinary skill in the art, before the effective filing date of the claimed invention, to connect the optical connector in the ‘831 publication to the optoelectronic device (10) in Hayase’s invention, since the optoelectronic device (10) is effective as a liquid-cooled electronic test device that processes an optical signal and testing the printed circuit board (3) on which the LSI module (91) and the optical element (92) which are test products are mounted, with the optical connector used as means for providing input and/or output optical signal to the optoelectronic device (10). Allowable Subject Matter Claims 3, 9 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. Prior art of record fails to teach or fairly suggest a modification that places a refrigerant within a light transmissive opening of a spacer for a lens holding member, when considered in view of the rest of the limitations of the claimed invention. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. JP2014191202A discloses an optical connector having a refrigerant cooling mechanism. Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHARLIE PENG whose telephone number is (571)272-2177. The examiner can normally be reached 9AM - 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, Thomas Hollweg can be reached at (571)270-1739. 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. /CHARLIE Y PENG/ Primary Examiner, Art Unit 2874
Read full office action

Prosecution Timeline

Dec 27, 2023
Application Filed
Jan 22, 2026
Non-Final Rejection — §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12601873
OPTICAL CONNECTION STRUCTURE AND OPTICAL MODULE
2y 5m to grant Granted Apr 14, 2026
Patent 12601884
OPTICAL FIBER CABLE WITH TENSILE MATERIAL BETWEEN THE INNER REINFORCING PROJECTION
2y 5m to grant Granted Apr 14, 2026
Patent 12596227
MULTI-LAYER WAVEGUIDE OPTICAL COUPLER
2y 5m to grant Granted Apr 07, 2026
Patent 12591092
COVERED CAVITY FOR A PHOTONIC INTEGRATED CIRCUIT (PIC)
2y 5m to grant Granted Mar 31, 2026
Patent 12585064
PHOTONICS CHIPS WITH AN INTEGRATED SEMICONDUCTOR LASER
2y 5m to grant Granted Mar 24, 2026
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
75%
Grant Probability
88%
With Interview (+13.0%)
2y 6m
Median Time to Grant
Low
PTA Risk
Based on 1166 resolved cases by this examiner. Grant probability derived from career allow rate.

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