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 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.
DETAILED ACTION
This is an AIA application filed August 13, 2024.
The earliest effective filing date of this AIA application is seen as May 21, 2024, the date of the earliest priority application (United States provisional patent application serial number 63/650,111) for any claims which are fully supported under 35 U.S.C. 112(a) by the provisional application.
The effective filing date of this AIA application is seen as August 13, 2024, the actual filing date, for any claims that are not fully supported by the foregoing provisional or non-provisional application(s).
The present application is also related to the applications giving rise to the following patent publication(s):
Office
Application
App. Date
Pub. #
Pub. Date
TW
113138409
10/09/2024
TW 202546486 A
12/01/2025
CN
202510651520
05/20/2025
CN 120652695 A
09/16/2025
The claims originally filed August 13, 2024 are entered, currently outstanding, and subject to examination.
This action is in response to the information disclosure statement/IDS filing of March 4, 2026.
Claims 1-20 are currently pending and outstanding.
No claims have been amended, cancelled, withdrawn, or added.
Claims 1-20 are currently outstanding and subject to examination.
This is a non-final action and is the first action on the merits.
Allowable subject matter is not indicated below.
Often, in the substance of the action below, formal matters are addressed first, claim rejections second, and any response to arguments third.
Specification
Applicant must provide the same terminology/vocabulary/phrasing in the specification that is present in the claims. At least one term or phrase is missing from the specification present in the claim(s).
The specification is objected to as failing to provide proper antecedent basis for the claimed subject matter. See 37 CFR 1.75(d)(1) and MPEP § 608.01(o).
Correction is required as the following amendment(s)/text in the claims find(s) no antecedent in the specification.
Claim(s)
Antecedent Missing For
1
"subset of the segments"
2 and 5
"first segment"
"second segment"
4 and 5
"third segment"
"third end of the second segment"
"fourth end of the second segment"
5, 6, and 14
"first connector segment"
"second connector segment"
8
"first end of the first curved segment"
"second end of the second curved segment"
8 and 12
"first distribution pad"
8 and 13
"second distribution pad"
9
"third end of the first curved segment"
"fourth end of the second curved segment"
12
"fourth curved segment"
13
"fifth curved segment"
As set forth in MPEP § 608.01(o):
The meaning of every term used in any of the claims should be apparent from the descriptive portion of the specification with clear disclosure as to its import; and in mechanical cases, it should be identified in the descriptive portion of the specification by reference to the drawing, designating the part or parts therein to which the term applies. A term used in the claims may be given a special meaning in the description. See MPEP § 2111.01 and § 2173.05(a).
Usually the terminology of the original claims follows the nomenclature of the specification, but sometimes in amending the claims or in adding new claims, new terms are introduced that do not appear in the specification. The use of a confusing variety of terms for the same thing should not be permitted.
. . . While an applicant is not limited to the nomenclature used in the application as filed, he or she should make appropriate amendment of the specification whenever this nomenclature is departed from by amendment of the claims so as to have clear support or antecedent basis in the specification for the new terms appearing in the claims. This is necessary in order to insure [sic, ensure] certainty in construing the claims in the light of the specification, Ex parte Kotler, 1901 C.D. 62, 95 O.G. 2684 (Comm’r Pat. 1901). See 37 CFR 1.75 and MPEP §§ 608.01(i), § 1302.01.
Consequently, identity between terms and phrases in the specification and claims is preferred and is seen as mandatory to ensure “certainty in construing the claims in the light of the specification”.
Further, under 37 C.F.R. § 1.121(e) regarding disclosure consistency:
The disclosure must be amended, when required by the Office, to correct inaccuracies of description and definition, and to secure substantial correspondence between the claims, the remainder of the specification, and the drawings.
Examiner considers direct correspondence between the specification and the claims to be important with respect to determining the scope of the claims.
Examiner strongly urges Applicant to review its claims with a fine-toothed comb and scrutinize them for any discrepancies between claim language and language that is used in the written description/specification as originally filed. Applicant is responsible for what it drafts. Discrepancies may be interpreted to Applicant’s detriment.
Special Definitions for Claim Language - MPEP § 2111.01(IV)
No special definitions are seen as present in the specification regarding the language used in the claims. Consequently, the words and phrases of the claims are given their plain meaning. MPEP §§ 2173.01, 2173.05(a), and 2111.01.
If special definitions are present, Applicant should bring those to the attention of the examiner and the prosecution history with its next response in a manner both specific and particular. In doing so, there will be no mistake, confusion, and/or ambiguity as to what constitutes the special definition(s).
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 1-11 and 14-20 are rejected under 35 U.S.C. § 102(a)(1) as being anticipated by U.S. Patent Application Publication No. 20220107542 of Parker et al. (Parker, publication of US 11914264 B2 cited by Applicant).
With respect to claim 1, Parker discloses a semiconductor photonics device (Figs. 1A-2F, hybrid ring modulator 100), comprising:
an optical modulator structure (ring waveguide 114); and
a modulator heater structure (118, 146, 147, 148), adjacent to the optical modulator structure (114), comprising:
a distribution pad (metal traces 146, 147); and
a heater element (heater 118), adjacent to the optical modulator structure (114, per the figures) and electrically coupled to the distribution pad (¶ 20, "The break in the metal ring 140 serves to accommodate metal traces 146, 147 in the second metal routing layer to vias 148 vertically connecting the traces 146, 147 to the heater 118."),
wherein the heater element comprises a plurality of segments (the horizontal portions of 118 per Figs. 1B-1D), and
wherein at least a subset of the segments extend alongside each other (per Figs. 1B and 1D).
With respect to claim 2, Parker as set forth above discloses the semiconductor photonics device of claim 1, including one wherein
the plurality of segments (the horizontal ones in Figs. 1B-1D from top to bottom of heater 118) comprises:
a first segment (top horizontal) having a first end (left side) that is electrically coupled to the distribution pad (146); and
a second segment (second horizontal from top 118),
wherein a second end of the first segment (right side), opposing the first end (per Figs. 1B-1D), is electrically coupled to the second segment (per the vertical section between them, referred to from top to bottom as sections 1-4 per Figs. 1B-1D).
With respect to claim 3, Parker as set forth above discloses the semiconductor photonics device of claim 2, including one wherein
the second end of the first segment (right side) is physically coupled to a connector segment (vertical section 1) that connects the first segment (top horizontal 118) and the second segment (second top horizontal).
With respect to claim 4, Parker as set forth above discloses the semiconductor photonics device of claim 2, including one wherein
the plurality of segments comprises:
a third segment (118 horizontal third from top),
wherein the second end (right) of the first segment (top) is electrically coupled to a third end (right side) of the second segment (second from top), and
wherein a fourth end (left side) of the second segment (second top) opposing the third end (Figs. 1B-1D) is electrically coupled to the third segment (heater element 118 is seen as continuous and conducting between 146 and 147 as a "resistively heated metal filament" per ¶ 18).
With respect to claim 5, Parker as set forth above discloses the semiconductor photonics device of claim 4, including one wherein
the third end (right) of the second segment (second from top) is physically coupled to a first connector segment (first and top vertical segment of 118) that connects the first segment (top) and the second segment (second top); and
wherein the fourth end (left) of the second segment (second top) is physically coupled to a second connector segment (second vertical from top on left of 118) that connects the second segment (second top) and the third segment (third top).
With respect to claim 6, Parker as set forth above discloses the semiconductor photonics device of claim 5, including one wherein
the first connector segment (top) is located on a first side of the heater element (top); and
wherein the second connector segment (second top) is located at a second side of the heater element opposing the first side (per Figs. 1B-1D).
With respect to claim 7, Parker as set forth above discloses a semiconductor photonics device (100), comprising:
an optical modulator structure (114); and
a modulator heater structure (118, 146, 147, 148), adjacent to the optical modulator structure (114), comprising:
a plurality of distribution pads (metal traces 146, 147); and
a heater element (heater 118), adjacent to the optical modulator structure (114, per the figures) and electrically coupled to the plurality of distribution pads (¶ 20, "The break in the metal ring 140 serves to accommodate metal traces 146, 147 in the second metal routing layer to vias 148 vertically connecting the traces 146, 147 to the heater 118."), comprising:
a first curved segment (Fig. 2F, heater 216 portion on the left/outside "extending partially around the ring waveguide 114", ¶ 25);
a second curved segment (inside/right 216); and
a third curved segment electrically coupled to the first curved segment and electrically coupled to the second curved segment (straight coupling/connecting portion opposite 146/147 in Fig. 2F is seen as curved per Applicant’s Figs. 3A/B),
wherein a first section of the third curved segment extends alongside the first curved segment (Fig. 2F), and
wherein a second section of the third curved segment extends alongside the second curved segment (Fig. 2F).
With respect to claim 8, Parker as set forth above discloses the semiconductor photonics device of claim 7, including one wherein
the first curved segment (outside/right) is electrically coupled to a first distribution pad (146), of the plurality of distribution pads, at a first end (top left) of the first curved segment; and
wherein the second curved segment is electrically coupled to a second distribution pad (147), of the plurality of distribution pads, at a second end of the second curved segment (top right).
With respect to claim 9, Parker as set forth above discloses the semiconductor photonics device of claim 8, including one wherein
the third curved segment is electrically coupled to a third end of the first curved segment and electrically coupled to a fourth end of the second curved segment.
Bottom right of Fig. 2F.
With respect to claim 10, Parker as set forth above discloses the semiconductor photonics device of claim 8, including one wherein
the first curved segment is mirrored relative to the second curved segment.
Fig. 2F.
With respect to claim 11, Parker as set forth above discloses the semiconductor photonics device of claim 10, including one wherein
the first section of the third curved segment (lower right) extends alongside the first curved segment; and
wherein the second section of the third curved segment extends alongside the second curved segment.
Per Fig. 2F.
With respect to claim 14, Parker as set forth above discloses the semiconductor photonics device of claim 7, including one wherein
the first curved segment and the third curved segment are electrically coupled together by a first connector segment (at the lower corner of Fig. 2F at the bottom right) of the heater element;
wherein the second curved segment and the third curved segment are electrically coupled together by a second connector segment of the heater element (at the upper corner of Fig. 2F at the bottom right);
wherein the first connector segment and the second connector segment are spaced apart by a gap (between the two curved segments of 216 in Fig. 2F); and
wherein the gap is located at a first side of the heater element opposing a second side of the heater element at which the heater element is electrically coupled to the plurality of distribution pads (per Fig. 2F).
With respect to claim 15, Parker as set forth above discloses a method, including one comprising:
forming an optical modulator structure (114) in a semiconductor layer of a semiconductor photonics device;
forming a heater element of a modulator heater structure adjacent to the optical modulator structure (114),
wherein the heater element is formed to include a plurality of segments, and
wherein the plurality of segments are concatenated by one or more connector segments of the heater element; and
forming a distribution pad coupled to the heater element.
The method of making would naturally occur in making the devices of claims 1 and 7, above.
With respect to claim 16, Parker as set forth above discloses the method of claim 15, including one wherein
forming the heater element comprises:
forming the heater element to conform to a top view shape of the optical modulator structure (114).
Per the figures, particularly 1B-1D and 2F.
With respect to claim 17, Parker as set forth above discloses the method of claim 16, wherein the top view shape of the optical modulator structure (114) is at least one of:
an approximate ring shape (Figs. 1A-1E),
an approximate rectangle shape,
an approximate triangle shape,
an approximate obround shape,
or an approximate ellipse shape.
With respect to claim 18, Parker as set forth above discloses the method of claim 15, including one wherein forming the heater element comprises:
forming the heater element such that the heater element is located below the optical modulator structure (114).
Fig. 1A when upside down.
With respect to claim 19, Parker as set forth above discloses the method of claim 15, including one wherein forming the heater element comprises:
forming the heater element such that the heater element is located above the optical modulator structure (114).
Fig. 1A when rightside up.
With respect to claim 20, Parker as set forth above discloses the method of claim 15, including one wherein
forming the heater element comprises:
forming the heater element such that the heater element laterally surrounds the optical modulator structure (114).
¶ 18, "Alternatively, the heater 118 may at least partially surround the ring waveguide 114 and/or ring-shaped layers above. (See FIGS. 2A-2F below for various example heater configurations.)".
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 of this title, 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.
This application currently names joint inventors. In considering patentability of the claims, the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claims 12 and 13 are rejected under 35 U.S.C. § 103 as being unpatentable over .
With respect to claim 12, Parker as set forth above discloses the semiconductor photonics device of claim 8, but not one wherein the heater element further comprises:
a fourth curved segment extending alongside the first curved segment and electrically coupled to the first curved segment and a first distribution pad of the plurality of distribution pads.
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to use the curved segments of Parker Fig. 2F in the heater 118 of Parker in order to more heating surface area, an alternative geometry, and/or a less angular configuration. This provides one rationale to combine the references.
In doing so, a generally circuitous path would be obtain having as many switchbacks as desired.
Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), prior art elements (listed above) are combined according to known methods (per the references) to yield predictable results (a thermally-controlled optical modulator) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024).
Further, the combination would then provide:
a fourth curved segment extending alongside the first curved segment and electrically coupled to the first curved segment and a first distribution pad (146) of the plurality of distribution pads.
With respect to claim 13, Parker as set forth above discloses the semiconductor photonics device of claim 12, including one wherein the heater element further comprises:
a fifth curved segment extending alongside the second curved segment and electrically coupled to the second curved segment and a second distribution pad of the plurality of distribution pads.
Per claim 12, any number of switchbacks may be obtained.
Conclusion
Applicant’s publication US 20250362532 A1 published November 27, 2025 is cited.
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The cited references have elements related to Applicant’s disclosure and/or claims or are otherwise associated with the other cited references, particularly with respect to optical modulators with thermal and other adjustment means.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to ANDREW JORDAN whose telephone number is (571) 270-1571. The examiner can normally be reached most days 1000-1800 PACIFIC TIME ZONE (messages are returned).
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. While examiner does not examine over the phone (see 37 C.F.R. § 1.2), examiner is glad to clarify or discuss issues so long as it forwards prosecution.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thomas (Tom) 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.
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/Andrew Jordan/
Primary Examiner, Art Unit 2874
V: (571) 270-1571 (Pacific time)
F: (571) 270-2571
July 25, 2026
Prosecution Insights