CTNF 18/580,808 CTNF 71085 DETAILED ACTION This Office action responds to the patent application no. 18/580,808 filed on January 19, 2024. Notice of Pre-AIA or AIA Status 07-03-aia AIA 15-10-aia The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA. Foreign Priority The present application no. 18/580,808 filed on January 19, 2024 is a National Stage under 35 U.S.C. 371 and 37 CFR 1.495 of PCT/JP2022/027815 with international filing date of July 15, 2022. Acknowledgement is made of a claim for foreign priority under 35 U.S.C. 119(a)-(d) or (f). The certified copy of the priority document, JP 2021/120982 filed in Japan on July 15, 2021 has been received in this National Stage application from the International Bureau complied with PCT Rule 17.1(a),(b) or (b- bis ), on July 28, 2022. Drawings 06-22-07 AIA The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they include the following reference character(s) not mentioned in the description: FIG. 15 has layer 33 sandwiched between the active layer 34 and the n-type doped base semiconductor part 8 . Corrected drawing sheets in compliance with 37 CFR 1.121(d), or amendment to the specification to add the reference character(s) in the description in compliance with 37 CFR 1.121(b) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance. Specification 06-29 The spacing of the lines of the specification is such as to make reading difficult. New application papers with lines 1 1/2 or double spaced (see 37 CFR 1.52(b)(2)) on good quality paper are required. 07-29 AIA The disclosure is objected to because of the following informalities: FIG. 15 has layer 33 sandwiched between the active layer 34 and the n-type doped base semiconductor part 8. However, the layer 33 is not directly pointed out in the specification. Is it possible that the “n-type semiconductor layer” in this sentence, “An n-type semiconductor layer may be provided between the base semiconductor part 8 and the active layer 34” in the paragraph (¶) [0052], is the layer 33? Appropriate correction is required. Claim Objections 07-29-01 AIA Claim 85 is objected to because of the following informalities: the ELO abbreviation should be spelled out . Appropriate correction is required. Claim Rejections - 35 USC § 102 07-07-aia AIA 07-07 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 – 07-08-aia AIA (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. 07-15 AIA Claim s 1, 65, 70, 71, 82, 84, and 85 are rejected under 35 U.S.C. 102( a)(1 ) as being anticipated by Hata et al. (Hata hereinafter) (JP 2003234502) . Regarding Claims 1, 65, 70, 71, 82, 84, and 85: Hata (see FIGs. 15-26) teaches {1} A light emitting device, comprising: a semiconductor substrate comprising a main substrate 51 , a mask pattern 53 located above the main substrate and comprising a mask portion 53 and an opening portion 52a , and a base semiconductor part 54 located above the mask pattern; and a compound semiconductor part 55/56/57/58 located above the semiconductor substrate and comprising a first light emitting portion 56 , wherein the semiconductor substrate comprises a first hole passing through the main substrate in a thickness direction and overlapping the first light emitting portion below the first light emitting portion; {65} the base semiconductor part does not include a bottom portion of the first hole; {70} an underlying portion 52 located on the main substrate, wherein the underlying portion comprises at least part of a bottom portion of the first hole; {71} the mask portion comprises at least part of a bottom portion of the first hole; {82} the first hole has a tapered shape tapered toward a side of the base semiconductor part; {84} a light emitting device, comprising: a semiconductor substrate 51/52 comprising an underlying substrate 52 that comprises a main substrate 51 and a base semiconductor part 54 located above the underlying substrate; and a compound semiconductor part 55/56/57/58 located above the semiconductor substrate and comprising a first light emitting portion 56 , wherein the base semiconductor part comprises a first portion and a second portion having a density of a dislocation extending in a thickness direction lower than the first portion, and the semiconductor substrate comprises a first hole passing through the main substrate in a thickness direction and overlapping the first light emitting portion below the first light emitting portion; and {85} A method for manufacturing a light emitting device described in claim 1, the method comprising: forming the base semiconductor part by using an ELO method using a mask pattern for selective growth; and forming the first hole by etching the main substrate from a back surface thereof. Hata (see ¶ [0054], [0074]-[0077], [0080], [0083], [0110]) teaches “the openings in the mask layer 25 be formed, for example in the [11-20] direction or the [1-100] direction of the undoped GaN layer 24”, “a first buffer layer 52 made of cubic perovskite structure of SrTiO 3 … formed on a Si substrate 51 having a cubic (111) plane as its surface”, “a selectively grown film 53 having an inverted mesa shape (inverted trapezoidal shape) overhang portion made of SiN or SiO 2 … A Si-doped n-type GaN layer 54 … An n-type cladding layer 55 made of n-type Al 0.3 Ga 0.7 N … An MQW light-emitting layer 56 made of Al 0.2 Ga 0.8 N … A p-type protective layer 57 made of Al 0.2 Ga 0.8 N … a p-type cladding layer 58 made of p-type GaN”; “a p-type contact layer 59 made of p-type GaN”; “a p-side electrode 60 … an n-side electrode 61”; “Figure 25 is a detailed top view of the p-type contact layer in the manufacturing process shown in Figure 24”; “the growth rate of the n-type GaN layer 54 in the vertical (c-axis) direction becomes faster … the sides of the faceted n-type GaN layer 54 gradually grow laterally as well … the dislocations that occur in the n-type GaN layer 54 are bent laterally … to reduce dislocations that propagate in the vertical (c-axis)direction of the n-type GaN layer 54”; and “while the first to fifth embodiments described above used MOCVD and HVPE methods as growth methods for nitride-based semiconductor layers … may also use the BME method (molecular beam epitaxial growth )” . 07-27-aia AIA Claim s 68, 72, and 83 are rejected under 35 U.S.C. 102( a)(1 ) as anticipated by or, in the alternative, under 35 U.S.C. 103 as obvious over Hata et al. (Hata hereinafter) (JP 2003234502) . Regarding Claims 68, 72, and 83: Hata (see FIGs. 15-26) teaches {68} the first light emitting portion 56 overlaps the mask portion 53 ; {72} a first electrode 60 and a second electrode 61 , wherein the first electrode overlaps the first light emitting portion; and {83} an underlying portion 54 located on the main substrate, wherein the underlying portion is locally provided overlapping the opening portion of the mask pattern in cross-sectional view, but not in the plan view. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to anticipate the first light emitting portion 56 overlaps the mask portion 53 and the first electrode overlaps the first light emitting portion and the underlying portion overlaps the opening portion of the mask pattern in plan views also when the overlapping shown in cross-sectional views . Claim Rejections - 35 USC § 103 07-20-aia AIA 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. 07-22-aia AIA Claim s 64, 78, and 79 are rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) as applied to claim 1 or 72 above, and further in view of Takiguchi et al. (Takiguchi hereinafter) (WO 2020/153191) and Sumida et al. (Sumida hereinafter) (US 2012/0280363) . Regarding Claims 64, 78, and 79: Hata (see FIG. 15) teaches {64} a first electrode 60 and a second electrode 61 , wherein the base semiconductor part 54 comprises a GaN-based semiconductor and {78, 79} the base semiconductor part comprises a GaN-based semiconductor. Hata (see ¶ [0079] and [0083]) “the surfaces of each nitride-based semiconductor layer (54-59) formed on the first buffer layer 52 tend to be (0001) planes, making crystal growth easier and resulting in nitride-based semiconductor layers (54-59) with fewer crystal defects” and “the dislocations that occur in the n-type GaN layer 54 are bent laterally in a direction parallel to the (0001) plane of the n-type GaN layer 54 from the early stages of growth … to reduce dislocations that propagate in the vertical (c-axis) direction of the n-type GaN layer 54”. However, Hata does not explicitly teach {64} the first electrode and the second electrode are aligned in a <1-100> direction of the GaN-based semiconductor or a <11-20> direction of the GaN-based semiconductor; {78} the first electrode and the second electrode are aligned in a <1-100> direction of the GaN-based semiconductor; and {79} the first electrode and the second electrode are aligned in a <11-20> direction of the GaN-based semiconductor. Takiguchi (see FIGs. 1, 2B, and 8) teaches a GaN-based light-emitting device comprising a first electrode 14 connected to the first conductivity layer 11 and aligned with a second electrode 15 connected to the second conductivity layer 13 and a plurality of three LEDs as one pixel arranged in a two-dimensional matrix. Sumida (see ¶ [0060], [0063], [0164]-[0173] and FIGs. 2 and 28) teaches “the growth mask … comprising a plurality of striped window 12a which are arranged in the first direction parallel to the 11-20 direction of the (0001) plane -oriented GaN-based semiconductor layers 13 and the second direction parallel to the 1-100 direction of the GaN-based semiconductor layer 13” and “the lateral growth rate parallel to the plane is the biggest in the 11-20 direction, and is the smallest in the 1-100 direction”; “a GaN-based light-emitting diode … the growth mask 82 comprises a striped window 82a and an auxiliary striped window (not illustrated) as same as the growth mask 12 … threading dislocations are formed at the directly above portion of the striped window 82a”. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the teaching of Hata to include the teaching of Takiguchi to form multiple GaN-based light emitting devices in a two-dimensional aligned matrix in a group of three LEDs forming one pixel in order to form a display device and to further include the teaching of Sumida to anticipate p and n-type electrodes of GaN-based LEDs being aligned on top of the <1-100> or <11-20> direction of the (0001) plane-oriented base semiconductor layer 54 . 07-22-aia AIA Claim 69 is rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) as applied to claim 1 above, and further in view of Takiguchi et al. (Takiguchi hereinafter) (WO 2020/153191) . Regarding Claim 69: Hata does not explicitly teach a first wavelength conversion layer disposed in the first hole and configured to emit light having a wavelength longer than a wavelength of received light. Takiguchi (see ¶ [0017] and [0027]) teaches a GaN-based light-emitting element emits excitation light EL/ultraviolet light with an emission wavelength of 360-430 nm, whose wavelength being converted by phosphor particles 331 within a packed layer 33 having resin 333, to blue wavelength of 430-500 nm, green wavelength of 500-550 nm, or red wavelength of 610-780 nm. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the teaching of Hata to include the teaching of Takiguchi to anticipate the GaN-based light-emitting element emits ultraviolet light having shorter wavelength than the wavelength of visible red, green, or blue light, when the ultraviolet light being converted by a wavelength conversion layer . 07-22-aia AIA Claim 73 is rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) as applied to claim 72 above, and further in view of Sumida et al. (Sumida hereinafter) (US 2012/0280363) . Regarding Claim 73: Hata does not explicitly teach a first pad connected to the first electrode; and a second pad connected to the second electrode. Sumida (see ¶ [0082] and Fig. 14) teaches pad electrodes made of Au being formed upon other electrodes made of multilayered metals. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the teaching of Hata to further include the teaching of Sumida to place additional conductive pad on the electrodes to meet interconnection design requirements . 07-22-aia AIA Claim s 74-76 are rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) in view of Sumida et al. (Sumida hereinafter) (US 2012/0280363) as applied to claim 73 above, and further in view of Kim et al. (Kim hereinafter) (US 8,598,619) . Regarding Claims 74-76: Hata in device of Sumida does not explicitly teach {74} at least part of the first pad does not overlap the first hole; {75} at least part of the first pad does not overlap the first light emitting portion; and {76} at least part of the second pad does not overlap the first hole in plan view. Kim (see col.7/ll.23-27) teaches “first and second pads 107a and 107b for the application of external electrical signals … the pads 107a and 107b directly contact the light emitting cells” and (see FIGs. 1, 7, 9, 10, and 12-14) depicts the light-emitting cells being interconnected in various design patterns. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the combined teaching of Hata in the device of Sumida to further include the teaching of Kim to interconnect the light-emitting cells via either one or both of the conductive pads partially not overlapping the holes residing the light conversion layers, or partially not overlapping the light emitting layer 56 in plan views to meet the circuitry design requirements . 07-22-aia AIA Claim 77 is rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) in view of Sumida et al. (Sumida hereinafter) (US 2012/0280363) as applied to claim 73 above, and further in view of Miyachi et al. (Miyachi hereinafter) (US 2016/0087149) . Regarding Claim 77: Hata in the device of Sumida does not explicitly teach {77} a position of an upper surface of the first pad matches a position of an upper surface of the second pad. Miyachi (see FIGs. 1E and 2G-2I and ¶ [0032]) teaches “electrically conductive bonding layers 14n and 14p are formed on the electrodes of each LED element. A support substrate 21 provided with wiring 23n and 23p is aligned above the electrically conductive bonding layers 14n and 14p … bonded to the electrically conductive bonding layers 14n and 14p to couple the support substrate”. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the combined teaching of Hata in the device of Sumida to further include the teaching of Miyachi to form the matching overall height of the conductive pads in order to electrically bond with other conductive pads in different substrate to meet manufacturing design requirements for strength or circuitry design requirements for further external connections . 07-22-aia AIA Claim 80 is rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) as applied to claim 1 above, and further in view of Biwa et al. (Biwa hereinafter) (US 2002/0043208) . Regarding Claim 80: Hata (see FIG. 15) teaches the base semiconductor part 54 comprises a first portion located on the opening portion and the second portion overlaps the first light emitting portion in cross-sectional view and (see ¶ [0079] and [0083]) teaches “the surfaces of each nitride-based semiconductor layer (54-59) formed on the first buffer layer 52 tend to be (0001) planes, making crystal growth easier and resulting in nitride-based semiconductor layers (54-59) with fewer crystal defects” and “the dislocations that occur in the n-type GaN layer 54 are bent laterally in a direction parallel to the (0001) plane of the n-type GaN layer 54 from the early stages of growth … to reduce dislocations that propagate in the vertical (c-axis) direction of the n-type GaN layer 54”. Hata does not explicitly a second portion located on the mask portion and having a threading dislocation density of 5 x 106/cm2 or lower, and the second portion overlaps the first light emitting portion in plan view. Biwa (see ¶ [0003] and [0035]) teaches “”after a first gallium nitride compound semiconductor layer has been once grown … a second gallium nitride compound semiconductor layer is selectively grown from the crystals left in the growth device, thereby reducing the through-type dislocation density. When using these techniques, there can be obtained a crystal film having a dislocation density up to about 10 6 cm -2 , thereby realizing a prolonged life of a semiconductor laser”; and “when a nitride semiconductor layer is grown after formation of irregularities or the like at a region where no protective layer is formed as in the present invention, it becomes possible to form a nitride semiconductor layer having a dislocation density lower than in prior art”. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the teaching of Hata to further include the teaching of Biwa to form the base semiconductor part 54 by the method described in 1999 or 2002 to achieve low threading dislocation density to reduce the impact of dislocation at the selective mask . 07-22-aia AIA Claim 81 is rejected under 35 U.S.C. 103 as being unpatentable over Hata et al. (Hata hereinafter) (JP 2003234502) as applied to claim 1 above, and further in view of Kim et al. (Kim hereinafter) (US 8,598,619) . Regarding Claim 81: Hata does not explicitly the base semiconductor part comprises a plurality of regions separated from each other, and each of the plurality of regions has an elongated shape. Kim (see FIGs. 1, 7, 9, 10, and 12-14 and col.8/ll.52-54) depicts the light emitting cells C being in square or rectangular shape and “the light emitting region may be considered as a set of rectangular light emitting surfaces defined by the light emitting cells C”. It would have been obvious to a person of ordinarily skilled in the art before the effective filing date of the instant invention to modify the teaching of Hata to further include the teaching of Kim to form a plurality of light-emitting cells having the base semiconductor part 54 in an elongated shape to meet the design requirements . Allowable Subject Matter 12-151-08 AIA 07-43 12-51-08 Claim s 63, 66, and 67 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. 13-03-01 AIA The following is a statement of reasons for the indication of allowable subject matter: Regarding to Claim 63: The primary art of record, Hata et al. neither anticipates nor renders obvious a light-emitting device having a compound semiconductor part on a base semiconductor part on a semiconductor substrate with a first hole passing through a main substrate and overlapping a selective growth mask portion plan view. These features in combination with other elements in the claim are neither disclosed nor suggested by the prior art of record. Regarding to Claim 66: The primary art of record, Hata et al. neither anticipates nor renders obvious a light-emitting device having a whole of an area that located between two electrodes aligned in certain direction and that overlaps the selective growth mask portion in plan view. These features in combination with other elements in the claim are neither disclosed nor suggested by the prior art of record. Regarding to Claim 67: The primary art of record, Hata et al. neither anticipates nor renders obvious a light-emitting device having a compound semiconductor part on a base semiconductor part on a semiconductor substrate with a bottom portion of a first hole passing through a main substrate and overlapping a selective growth mask portion plan view. These features in combination with other elements in the claim are neither disclosed nor suggested by the prior art of record. Correspondence Any inquiry concerning this communication or earlier communications from the examiner should be directed to ALICE W TANG whose telephone number is (571)272-7227. The examiner can normally be reached Monday-Friday: 8:30 am to 5 pm.. 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, Wael Fahmy can be reached at (571)272-1705. 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. 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If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /ALICE W TANG/Examiner, Art Unit 2814 /WAEL M FAHMY/Supervisory Patent Examiner, Art Unit 2814 Application/Control Number: 18/580,808 Page 2 Art Unit: 2814 Application/Control Number: 18/580,808 Page 3 Art Unit: 2814 Application/Control Number: 18/580,808 Page 4 Art Unit: 2814 Application/Control Number: 18/580,808 Page 5 Art Unit: 2814 Application/Control Number: 18/580,808 Page 7 Art Unit: 2814 Application/Control Number: 18/580,808 Page 8 Art Unit: 2814 Application/Control Number: 18/580,808 Page 9 Art Unit: 2814 Application/Control Number: 18/580,808 Page 10 Art Unit: 2814 Application/Control Number: 18/580,808 Page 11 Art Unit: 2814 Application/Control Number: 18/580,808 Page 12 Art Unit: 2814 Application/Control Number: 18/580,808 Page 13 Art Unit: 2814
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