Prosecution Insights
Last updated: April 19, 2026
Application No. 18/589,472

OPTICAL COUPLER, VISIBLE LIGHT SOURCE MODULE AND OPTICAL ENGINE

Non-Final OA §103
Filed
Feb 28, 2024
Examiner
DABBI, JYOTSNA V
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
TDK Corporation
OA Round
1 (Non-Final)
62%
Grant Probability
Moderate
1-2
OA Rounds
3y 5m
To Grant
85%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allow Rate
333 granted / 541 resolved
-6.4% vs TC avg
Strong +24% interview lift
Without
With
+23.7%
Interview Lift
resolved cases with interview
Typical timeline
3y 5m
Avg Prosecution
38 currently pending
Career history
579
Total Applications
across all art units

Statute-Specific Performance

§101
0.4%
-39.6% vs TC avg
§103
57.6%
+17.6% vs TC avg
§102
19.6%
-20.4% vs TC avg
§112
19.5%
-20.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 541 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 . Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. Drawings The drawings with 13 Sheets of Figs. 1-17 received on 2/28/2024 are acknowledged and accepted. Claim Objections Claims 1-11, objected to because of the following informalities: Claim 1 recites “MMI” in line 1. It is an acronym defined in the specification and its full form must be recited. It is suggested to be replaced with “Multi-mode Interference (MMI)” the first time it is recited in the claim. Claims 2-11 are dependent on claim 1 and hence inherit its deficiencies. Appropriate correction is required. 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. Claim(s) 1-4, is/are rejected under 35 U.S.C. 103 as being unpatentable over Sui et al (Flexible broadband white light multimode interference coupler, Optics Express, Vol 29, No 19, 09-13-2021, pages 29730 -29743) in view of Jeong et al (US 2012/0230631 A1). Regarding Claim 1, Sui teaches (fig 1a,b) an optical coupler (RGB coupler, fig 1 caption, waveguide coupler, page 29731, last para) that couples laser lights of a plurality of different wavelengths (red, green blue, RGB), wherein a first MMI type optical coupling part (MMI1 on the left, two MMI couplers, page 29731, last para) and a second MMI type optical coupling part (MMI2 on the right, two MMI couplers, page 29731, last para) are connected from an input side (as in fig 1b), and a width of the first MMI type optical coupling part (MMI1) is same as a width of the second MMI type optical coupling part (MMI2) (widths are both WMMI, page 29732, 1st para). However, Sui does not teach a width of the first MMI type optical coupling part is wider than a width of the second MMI type optical coupling part. Sui and Jeong are related as MMI. Jeong teaches (fig 1A), a width of the first MMI type optical coupling part (MMI coupler 2, para 37) is wider than a width of the second MMI type optical coupling part (MMI coupler 3, para 37) (as in fig 1A). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the width of the optical coupling part of Sui to have the first MMI part’s width wider than the second MMI part’s width of Jeong for the purpose of reducing the device length (para 40). Regarding Claim 2, Sui-Jeong teaches the optical coupler according to claim 1, wherein all of the plurality of different wavelengths are visible light wavelengths (RGB wavelengths, pages 28731-28732, Sui). Regarding Claim 3, Sui-Jeong teaches the optical coupler according to claim 1, wherein the optical coupler (RGB coupler, fig 1 caption, waveguide coupler, page 29731, last para, Sui) is a 3-input (R, G, B inputs to MMI1 and MMI2) and 1-output (RGB output from MM2) optical coupler (as in fig 1b), and the optical coupler is configured so that laser lights of three colors (RGB input) are input and the laser light input from a center is laser light with a shortest wavelength (color B is in the center as input in fig 1b, B has shortest wavelength). Regarding Claim 4, Sui-Jeong teaches the optical coupler according to claim 3, wherein the three colors are respectively a red wavelength of 610 nm or more and 750 nm or less (660nm), a green wavelength of 500 nm or more and 560 nm or less (550nm), and a blue wavelength of 435 nm or more and 480 nm or less (440nm) (page 29733, 2nd para, Sui). Claim(s) 5, is/are rejected under 35 U.S.C. 103 as being unpatentable over Sui et al (Flexible broadband white light multimode interference coupler, Optics Express, Vol 29, No 19, 09-13-2021, pages 29730 -29743) in view of Jeong et al (US 2012/0230631 A1) and further in view of Ma et al (US 10,012,795 B2). Regarding Claim 5, Sui-Jeong teaches the optical coupler according to claim 4. However, Sui-Jeong does not teach wherein a connection portion of the second MMI type optical coupling part with the first MMI type optical coupling part has a taper of which a width becomes wider as the taper approaches the first MMI type optical coupling part. Sui-Jeong and Ma are related as MMI coupler. Ma teaches (fig 2) a connection portion of the optical coupler (MMI coupler, col 5, lines 4-6) has a taper (guiding tapers, length L_taper, col 5, lines 18-26) of which a width becomes wider as the taper approaches the coupler (“Short tapers are introduced between the multimode region and input/output waveguides to better guiding the optical mode”, col 4, lines 64-66). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the connection portion of the second and first MMI type optical coupling parts of Sui to include the taper of Ma for the purpose of smoothly transforming the input/output profile (col 5, lines 18-26). Claim(s) 6-11, is/are rejected under 35 U.S.C. 103 as being unpatentable over Sui et al (Flexible broadband white light multimode interference coupler, Optics Express, Vol 29, No 19, 09-13-2021, pages 29730 -29743) in view of Jeong et al (US 2012/0230631 A1) and further in view of Okamoto et al (US 2017/0052423 A1, of record). Regarding Claim 6, Sui-Jeong teaches the optical coupler according to claim 1. However, Sui-Jeong does not teach further comprising: a substrate made of a material different from lithium niobate; and an optical coupling functional layer formed on a main surface of the substrate and made of a lithium niobate film, wherein the optical coupler is formed in the optical coupling functional layer. Sui-Jeong and Okamoto are related as light coupler. Okamoto teaches (fig 7) further comprising: a substrate (buffer layer 304, para 121) made of a material different from lithium niobate; and an optical coupling functional layer (substrate 301, para 121, “optical waveguides 302R (third optical waveguide), 302G (second optical waveguide), and 302B (first optical waveguide) formed in the substrate 301”, para 121) formed on a main surface of the substrate (buffer layer 304, para 121) and made of a lithium niobate film (“Examples of the material showing the electro-optical effect may include a lithium niobate (LiNbO.sub.3)”, para 124), wherein the optical coupler (coupler formed of waveguides 302R,G,B) is formed in the optical coupling functional layer (substrate 301, para 121). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupler of Sui to include the LiNbO3 of Okamoto for the purpose of showing electrooptical effect and allowing size of the device to be reduced (para 125). Regarding Claim 7, Sui-Jeong-Okamoto teaches a visible light source module comprising: the optical coupler according to claim 6; However, Sui-Jeong does not teach a plurality of visible laser light sources configured to emit visible lights that are coupled by the optical coupler. Sui-Jeong and Okamoto are related as light coupler. Okamoto teaches (fig 3,7) further comprising: a plurality of visible laser light sources (plurality of light sources 311R, 311G and 311B, which emit light fluxes having different wavelengths”, para 77, LB, LG, LR) configured to emit visible lights that are coupled by the optical coupler (optical waveguides 302R (third optical waveguide), 302G (second optical waveguide), and 302B (first optical waveguide) formed in the substrate 301”, para 121). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupler of Sui to include the light sources of Okamoto for the purpose of generating a full color image (para 78). Regarding Claim 8, Sui-Jeong-Okamoto teaches an optical coupler with a light modulation function, comprising: the optical coupler according to claim 6; However, Sui-Jeong does not teach a Mach-Zehnder type optical modulator connected to the optical coupler and configured to guide a plurality of visible lights emitted from a plurality of visible laser light sources to the optical coupler. Sui-Jeong and Okamoto are related as light coupler. Okamoto teaches (fig 3,7) a Mach-Zehnder type optical modulator (“the first modulation section uses a Mach-Zehnder-type modulation method”, para 32) connected to the optical coupler and configured to guide a plurality of visible lights emitted from a plurality of visible laser light sources (plurality of light sources 311R, 311G and 311B, which emit light fluxes having different wavelengths”, para 77, LB, LG, LR) to the optical coupler (optical waveguides 302R (third optical waveguide), 302G (second optical waveguide), and 302B (first optical waveguide) formed in the substrate 301”, para 121). . Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupler of Sui to include the Mach-Zender modulator of Okamoto for the purpose of arbitrary adjustment of modulation width with a simple structure (para 159). Regarding Claim 9, Sui-Jeong-Okamoto teaches the visible light source module comprising: the optical coupler with a light modulation function according to claim 8; However, Sui-Jeong does not teach a plurality of visible laser light sources configured to emit visible lights that are coupled by the optical coupler with a light modulation function Sui-Jeong and Okamoto are related as light coupler. Okamoto teaches (fig 3,7) a plurality of visible laser light sources (plurality of light sources 311R, 311G and 311B, which emit light fluxes having different wavelengths”, para 77, light fluxes LB, LG, LR) configured to emit visible lights that are coupled by the optical coupler (optical waveguides 302R (third optical waveguide), 302G (second optical waveguide), and 302B (first optical waveguide) formed in the substrate 301”, para 121). with a light modulation function (“the first modulation section uses a Mach-Zehnder-type modulation method”, para 32). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupler of Sui to include the modulation function of Okamoto for the purpose of arbitrary adjustment of modulation width with a simple structure (para 159). Regarding Claim 10, Sui-Jeong-Okamoto teaches an optical engine (image display apparatus 1, para 60) comprising: the visible light source module according to claim 7; However, Sui-Jeong does not teach a light scanning mirror that reflects light emitted from the visible light source module by changing an angle to display an image. Sui-Jeong and Okamoto are related as light coupler. Okamoto teaches (fig 1,2,3,7) a light scanning mirror (“light sweeper 42 (light scanner)”, para 76) that reflects light emitted from the visible light source module (“The signal generator 3 has a function of generating signal light fluxes”, para 74) (plurality of light sources 311R, 311G and 311B, which emit light fluxes having different wavelengths”, para 77, LB, LG, LR) by changing an angle to display an image (“image”, para 60). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupler of Sui to include the scanner of Okamoto for the purpose of displaying a high resolution image in a head mounted display (para 39). Regarding Claim 11, Sui-Jeong-Okamoto teaches the optical engine comprising: the visible light source module according to claim 9; and However, Sui-Jeong does not teach a light scanning mirror that reflects light emitted from the visible light source module by changing an angle to display an image. Sui-Jeong and Okamoto are related as light coupler. Okamoto teaches (fig 1,2,3,7) a light scanning mirror (“light sweeper 42 (light scanner)”, para 76) that reflects light emitted from the visible light source module (“The signal generator 3 has a function of generating signal light fluxes”, para 74) (plurality of light sources 311R, 311G and 311B, which emit light fluxes having different wavelengths”, para 77, LB, LG, LR) by changing an angle to display an image (“image”, para 60). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupler of Sui to include the scanner of Okamoto for the purpose of displaying a high resolution image in a head mounted display (para 39). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to JYOTSNA V DABBI whose telephone number is (571)270-3270. The examiner can normally be reached M-Fri: 9:00am-5:00pm. 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, STEPHONE ALLEN can be reached at 571-272-2434. 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. /JYOTSNA V DABBI/Primary Examiner, Art Unit 2872 1/24/2026
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Prosecution Timeline

Feb 28, 2024
Application Filed
Jan 24, 2026
Non-Final Rejection — §103 (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
62%
Grant Probability
85%
With Interview (+23.7%)
3y 5m
Median Time to Grant
Low
PTA Risk
Based on 541 resolved cases by this examiner. Grant probability derived from career allow rate.

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