Prosecution Insights
Last updated: August 17, 2026
Application No. 18/672,863

LIGHT EMITTING DEVICE

Non-Final OA §102§103
Filed
May 23, 2024
Priority
May 31, 2023 — JP 2023-089442
Examiner
DZIERZYNSKI, EVAN P
Art Unit
Tech Center
Assignee
NICHIA Corporation
OA Round
1 (Non-Final)
77%
Grant Probability
Favorable
1-2
OA Rounds
0m
Est. Remaining
90%
With Interview

Examiner Intelligence

Grants 77% — above average
77%
Career Allowance Rate
906 granted / 1170 resolved
+17.4% vs TC avg
Moderate +12% lift
Without
With
+12.2%
Interview Lift
resolved cases with interview
Fast prosecutor
2y 0m
Avg Prosecution
14 currently pending
Career history
1177
Total Applications
across all art units

Statute-Specific Performance

§101
1.1%
-38.9% vs TC avg
§103
64.3%
+24.3% vs TC avg
§102
24.6%
-15.4% vs TC avg
§112
7.8%
-32.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1170 resolved cases

Office Action

§102 §103
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 . Claim Rejections - 35 USC § 102 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. Claims 1, 3, 11, and 17 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Chan US 2012/0008186 1. Chan discloses a light emitting device (see abstract and figures 1-14) comprising: a light source LEDs 49 having a light emitting surface (light emitting surface of LEDs, see Fig 8) a light shielding member (variable space shutter 10, paragraph 0038) located above the light source and having an opening (variable space shutter 10 has a first frame 12, second frame 14, and shutter part 16 that has vertical slats with vertical openings corresponding to the LEDS, see paragraph 0028, Fig 1-8 and 10-14) the light shielding member is movable between a first position in which the opening overlaps the light emitting surface of the light source in a top view (open configuration, Fig 10-12, paragraph 0036, “the vertical opening slats 15a of the shutter part 16 line up with the vertical opening slats 13a of the first frame 12 to permit the maximum amount of light to pass through the variable space shutter 10”) a second position, different from the first position, in which the opening overlaps the light emitting surface of the light source in the top view (the device of Chan allows for adjustment that can go from fully closed to fully opened and specifically teaches the device enabled to be partially open, paragraph 0037, Figures 12-14) light emission of the light source is controllable under a first condition when the light shielding member is in the first position (paragraph 0033, “back box contains, e.g., electronic parts for driving the LED display and for supply signals and power, e.g., a transformer, driver boards, cables, connectors, etc”, in the fully open position the device is capable of emitting light and therefore is interpreted as controllable under a first condition) and is controllable under a second condition when the light shielding member is in the second position (paragraph 0033, “back box contains, e.g., electronic parts for driving the LED display and for supply signals and power, e.g., a transformer, driver boards, cables, connectors, etc”, in the partially open position the device is capable of emitting light and therefore is interpreted as controllable under a second condition). 3. Chan discloses the light emitting device according to claim 1, wherein: in the top view, a position of the opening when the light shielding member is in the first position does not overlap a position of the opening when the light shielding member is in the second position (see the discussion in claim 1 regarding the first position, fully open, compared to a second position with partial light-emission and the shield being partially offset comparted to fully open). 11. Chan discloses the light emitting device according to claim 1, wherein: the light source comprises a plurality of light emitting parts (see plurality of LEDs 49) having respective light emitting surfaces (light emitting surface of each LED), and the light shielding member has a plurality of openings corresponding to the plurality of light emitting parts (vertical openings 13b corresponding to the plurality of LEDs, see paragraph 0028). 17. Chan discloses the light emitting device according to claim 1, further comprising: an actuator configured to drive the light shielding member (handles are configured to drive movement of light shielding member, see paragraph 0035, 0037). 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 4 is rejected under 35 U.S.C. 103 as being unpatentable over Chan in view of Groetsch US 2017/0307177. As for claim 4, Chan discloses the light emitting device according to claim 1 and teaches electronic parts for driving the LED display and for supply signals and power, e.g., a transformer, driver boards, cables, connectors (paragraph 0033), but is silent to specifically teaching each of the first condition and the second condition is a condition for performing one or both of turning-on of the light source and turning-off of the light source. The examiner takes Official Notice that having the functionality in a lighting device to allow turning on light sources on and off is old and well known. Groetsch is provided as evidence of independent activation/deactivation (see paragraph 0094). It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to look to Groetsch and what is known in the art and provide the light sources of Chan with a means to perform one or both of turning on of the light source and turning off of the light source in the first and second conditions to allow the device of Chan additional well-known features to enable achieving a desired luminous output. Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Chan in view of Ishihara US 2013/0001605 5. Chan discloses the light emitting device according to claim 1, Chan further teaches that the light source comprises: a light emitting element (LED 49), but fails to further teach and at least one wavelength conversion member located on the light emitting element such that an entirety of the light emitting element is covered in the top view, and the at least one wavelength conversion member constitutes the light emitting surface of the light source. Ishihara teaches at least one wavelength conversion member located on the light emitting element (phosphor plate 20, see paragraph 0007, 0066) such that an entirety of the light emitting element is covered in the top view, and the at least one wavelength conversion member constitutes the light emitting surface of the light source (see 20, Fig 1A). It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to combine the wavelength conversion member located on the light emitting element such that an entirety of the light emitting element is covered in the top view, and the at least one wavelength conversion member constitutes the light emitting surface of the light source of Ishihara with the device of Chan to enable modifying the wavelength of emitted light to achieve a desired luminous output in Chan of different colors. Claims 6 and 8 are rejected under 35 U.S.C. 103 as being unpatentable over Chan in view of Choi US 2017/0352714. 6. Chan discloses the light emitting device according to claim 1, Chan further teaches that the light source comprises: a light emitting element (LED 49), but fails to further teach and at least one wavelength conversion member located on the light emitting element such that a portion of the light emitting element is exposed in the top view, and the at least one wavelength conversion member and the light emitting element constitute the light emitting surface of the light source. Choi teaches at least one wavelength conversion member located on the light emitting element such that a portion of the light emitting element is exposed in the top view (Fig 3 and 4, paragraph 0050), and the at least one wavelength conversion member and the light emitting element constitute the light emitting surface of the light source. It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to combine the at least one wavelength conversion member located on the light emitting element such that a portion of the light emitting element is exposed in the top view, and the at least one wavelength conversion member and the light emitting element constitute the light emitting surface of the light source of Choi with the device of Chan to enable modifying the wavelength of emitted light to achieve a desired luminous output in Chan of different colors. 8. Chan in view of Choi teach the light emitting device according to claim 6; Choi further teaches the at least one wavelength conversion member comprises a plurality of wavelength conversion members having different peak emission wavelengths (310, 320, Fig 1-4, red and green conversion layers), and the wavelength conversion members are located at positions that do not overlap each other in the top view (see non overlapping positions of 310 and 320). It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to combine the plurality of wavelength conversion members having different peak emission wavelengths located at positions that do not overlap each other in the top view with Chan where emitting red and green light is desired. Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Chan in view of Ishihara as applied to claim 5, and further in view of Choi US 2017/0352714 7. Chan in view of Ishihara teach the light emitting device according to claim 5; the combination fails to further teach the at least one wavelength conversion member comprises a plurality of wavelength conversion members having different peak emission wavelengths, and the wavelength conversion members are located at positions that do not overlap each other in the top view. Choi teaches the at least one wavelength conversion member comprises a plurality of wavelength conversion members having different peak emission wavelengths (310, 320, Fig 1-4, red and green conversion layers), and the wavelength conversion members are located at positions that do not overlap each other in the top view (see non overlapping positions of 310 and 320). It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to combine the plurality of wavelength conversion members having different peak emission wavelengths located at positions that do not overlap each other in the top view with Chan in view of Ishihara where emitting red and green light is desired. Claim 14 is rejected under 35 U.S.C. 103 as being unpatentable over Chan in view of Klug US 2020/0301147. As for claim 14, Chan discloses the light emitting device according to claim 1 and further teaches the opening of the light shielding member overlaps the light emitting surface of the light source (openings 13a overlaps with light emitting surface of LEDs 49, see paragraph 0028), and the light shielding member is movable between a plurality of positions that include the first position and the second position (teaches the shutter as a variable space shutter that can move from fully open to partially open to fully closed (paragraph 0037, Figures 12-14); Chan further teaches electronic parts for driving the LED display and for supply signals and power, e.g., a transformer, driver boards, cables, connectors (paragraph 0033), but is silent to specifically teaching the light emission of the light source is controllable in synchronization with the opening being located at each of the plurality of positions. The examiner takes Official Notice that activation of lights in response to a mode change such as opening/closing of a shutter is well known. Klug teaches the concept of synchronizing the opening of shutters with the activation of corresponding light emitters (paragraph 0101). It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to look to Klug and synchronize the shutters with the light emitters for lighting applications where having activating the emitters when the shutters are being opened is desired. Claims 18 is rejected under 35 U.S.C. 103 as being unpatentable over Chan in view of Chao US 2013/0120688. 18. Chan discloses the light emitting device according to claim 17, but fails to further teach the actuator includes a piezoelectric element. Chao teaches an actuator for a shutter that includes a piezoelectric element (see paragraph 0130). It would have been obvious for one having ordinary skill in the art before the effective filling of the claimed invention to look to the teachings of Chao and utilize a piezoelectric element for the actuators of Chan to allow the device more versatility in adjusting the shutters by enabling it to be controlled by a piezoelectric element rather than just manually with handles. Allowable Subject Matter Claims 2, 9, 10, 12, 13, 15, and 16 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. The following is a statement of reasons for the indication of allowable subject matter; the prior art fails to teach: 2. The light emitting device according to claim 1, wherein: an opening area of the opening is smaller than an area of the light emitting surface of the light source. 9. The light emitting device according to claim 1, wherein: the light shielding member comprises: a light transmissive member, and a light shielding film located on the light transmissive member, and a region of the light transmissive member on which the light shielding film is not located serves as the opening. 10. The light emitting device according to claim 1, wherein: the light source comprises a light emitting element, and a wavelength conversion member is located in the opening of the light shielding member. 12. The light emitting device according to claim 11, further comprising: a wall located around each of the plurality of openings in the top view, wherein: at least a portion of the wall is located between the light source and the light shielding member. 13. The light emitting device according to claim 11, further comprising: a plurality of partition walls, wherein: the plurality of light emitting parts respectively include the plurality of light emitting elements, and the plurality of partition walls are respectively located around the plurality of light emitting elements in the top view. 15. The light emitting device according to claim 14, wherein: the light shielding member is configured to make a circulating movement between the plurality of positions, and a period of time during which the light shielding member moves from the first position to the second position is shorter than a cycle of the circulating movement of the light shielding member. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Schallmoser US 2011/017630 discloses a light emitting device (Fig 3c-4c) comprising: a light source 1 having a light emitting surface (emitting surface of LEDs 1, see Fig 3c, 4a, 4b, 5c), a light shielding member (aperture 3, see Fig 3b, 3c, 4a) located above the light source 1 and having an opening (opening 30, paragraph 0079); the light shielding member is movable (paragraph 0041 teaches that the aperture may be displaced relative to the reflector by a guide rail or sliding mechanism) between a first position in which the opening 30 overlaps the light emitting surface of the light source in a top view (see Fig 3c, fig 4a shows an example of a first position of aperture 3 with respect to light sources 1) a second position, different from the first position, in which the opening overlaps the light emitting surface of the light source in the top view (see paragraph 0061 and Fig 4c, a second position is interpreted as a position different from the first position where the opening still overlaps a portion of the light emitting surface, for example, by sliding the aperture in the direction of arrow 90 Fig 4c as discussed in paragraph 0061). Lee US 10886261 discloses a LED display with a movable shutter/light blocking member with features similar to the claimed invention. Any inquiry concerning this communication or earlier communications from the examiner should be directed to Evan P Dzierzynski whose telephone number is (571)272-2336. The examiner can normally be reached Monday-Friday 8:00am-4:30pm PST. 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, Abdulmajeed Aziz can be reached at 571-270-5046. 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. /EVAN P DZIERZYNSKI/ Primary Examiner, Art Unit 2875
Read full office action

Prosecution Timeline

May 23, 2024
Application Filed
Jul 31, 2026
Non-Final Rejection mailed — §102, §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
77%
Grant Probability
90%
With Interview (+12.2%)
2y 0m (~0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 1170 resolved cases by this examiner. Grant probability derived from career allowance rate.

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