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
Acknowledgment is made of applicant’s claim for foreign priority under 35 U.S.C. 119 (a)-(d). The certified copy has been filed in parent Application No. JP2022-059792, filed on March 31, 2022.
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Specification
The lengthy specification has not been checked to the extent necessary to determine the presence of all possible minor errors. Applicant’s cooperation is requested in correcting any errors of which applicant may become aware in the specification.
Claim Interpretation
Regarding claim 1, the adjective “light-emissive” in line 2 to describe a particle is interpreted as being fluorescent or having an ability to emit light upon excitation (in line with paragraph [0008] of instant disclosure).
Regarding claim 8, the term “optical functional film” is interpreted as “a film having light emissivity” in line with the definition provided of paragraph [0008] of the instant disclosure.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claim 5 rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claim 5 refers to “the polar group is a carboxy group”. Claim 5 depends on claim 1 which introduces “the total number of polar groups” within the composition. However, given how claim 5 is worded, it is unclear when referencing “the polar group” if the applicant intends to mean “the total number of polar groups” of the composition as being all “carboxy groups” or if the total number of polar groups only refers to the total number of carboxy groups amongst all polar groups in the composition. Therefore, the claim is unclear if the composition can only contain carboxy groups as polar groups and no other polar groups or if the number of carboxy groups is the determining factor for the calculation in the ratio of Ptotal/Stotal. Thus, claim 5 is indefinite.
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.
Claims 1-5 and 7-10 are rejected under 35 U.S.C. 103 as being unpatentable over Kim et al (JP2021128339A) in view of Toru et al (WO2019069737A1) and Isonaka et al (US PGPub 20190390076).
Regarding claim 1, Kim et al teach a composition containing quantum dots (light-emissive or first particle as claimed), a curable monomer (and optional photopolymerizable monomer, both of which read upon a polymerizable compound as claimed), and a curable composition which is a resin (thus a resin as claimed). The quantum dots of Kim are coated with an organic ligand to suppress QD aggregation and control the particle size. The organic ligands contain polar groups as the organic ligands are carboxylic acids, thiols, or phosphoric acids (examples include pyridine, oleic acid, mercaptoalcohol, phosphine, phosphine oxide). The curable monomer also may contain polar groups as the examples of monomers are listed:
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. The resin also may contain polar groups as the curable resin may contain “one or more kinds of epoxy resin, acrylic resin, epoxy acrylate resin, polyvinyl acetate, polyvinyl alcohol, polyethylene, polypropylene, polycarbonate, polyvinyl chloride and the like, and particularly contains epoxy resin”. However, Kim is silent on factors such as consideration of total number of polar groups and the surface area of particles contained within a given mass (1 g) of the composition. The claimed mass of 1 g need not be reached specifically as the ratio of polar groups to a surface area can be considered as a homogenous factor (or concentration) throughout the composition to be mindful. Thus, the ratio of polar groups to surface area would be considered as being 13.5 groups/nm2 or less at any given mass of composition considering homogeneity. Toru also teaches a composition for use in optical films/display devices and is thus analogous to the composition of Kim. Toru teaches analogous considerations such as dispersibility to that of Kim wherein the composition of Toru includes semiconductor nanoparticles (such as QDs), a dispersant or organic ligand on the surface of the nanocrystal (thus similar to carboxyl ligand of Kim), a resin being further included with the dispersant, and monomers which are polymerizable. Toru emphasizes the importance of functional groups of the dispersant that can be supported on the surface of nanocrystals used (QDs) wherein such functional groups are polar groups: “primary amino group, secondary amino group, tertiary amino group, phosphoric acid group, phosphoric acid ester group, phosphonic acid group, phosphonic acid ester group, phosphinic acid group, phosphinic acid ester group, Thiol group, thioether group, sulfonic acid group, sulfonic acid ester group, carboxylic acid group, carboxylic acid ester group, hydroxyl group, ether group, imidazolyl group, triazinyl group, pyrrolidonyl group, isocyanuric acid group, boric acid ester group, boronic acid” which are analogous to that of Kim. Toru teaches the dispersant (or organic ligand bound to QD surface) has a weight average molecular weight such that there is a “sufficient number of functional groups per unit weight and does not become too high in crystallinity, so that the dispersion stability of nanocrystals in the ink can be enhanced”. Additionally, if the weight average is also not too high, then inhibition of charge transfer in light emitting layer obtained can be prevented or suppressed. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to modify the amount of polar groups, or functional groups, of the ligand bound to the nanoparticles such that sufficient crystallinity and dispersion stability can be achieved and arrive at a suitable total number of polar groups contained within the composition and the limitation as claimed. Toru does not teach a ratio between polar groups and surface area but Tory does disclose that nanocrystals can be prone to aggregation due to large surface area. Aggregation is a factor to avoid in such compositions since light emission characteristics can be prone to deterioration due to aggregation according to Toru thus suggesting that surface area by proxy should be modified and adjusted. Isonaka also teaches a composition or dispersion containing light-emitting nanocrystals in a curable material or resin. In paragraph [0013], Isonaka teaches similar problems between surface area and aggregation to that of Toru, supporting a combination of teachings relevant in the art to be applied. Isonaka discloses that such nanocrystals tend to aggregate because of their larger surface area and that once particles aggregate there is a decrease in quantum yield caused by quenching which subsequently affects brightness and color reproduction. Additionally, Kim teaches their organic ligand on the surface of the QD can control QD size and thus surface area can be similarly tailored based on QD size and size distribution. Isonaka similarly teaches a dispersant which adsorbs onto the surface of the light-emitting nanocrystals (paragraphs [0086-87] wherein the dispersant has functional groups which are polar with a necessary “amine value” wherein more polar groups will increase the “amine value” as “amine value” is a similar measure of “acid value” except pertaining to basic polar groups as opposed to acidic ones. Isonaka teaches having a sufficient number of polar groups within an acceptable range enables a sufficient storage stability of pixel units and enables sufficient dispersibility wherein dispersibility aids in luminescence efficiency (paragraph [0088]). Isonaka teaches the same principal applies when considering acidic functional polar groups (thus relevant to carboxy groups of Kim and Toru) as disclosed in paragraphs [0099-101] and [0105-106]. Isonaka teaches in general that amino groups may be preferable to acidic ones but does not necessarily teach away from their implementation. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to modify the amounts of polar groups relative to the surface area, as such parameters represent result-effective variables, wherein in a number of polar groups in the composition impact storage stability and dispersibility and wherein surface area impacts aggregation and dispersibility wherein all such factors impact the luminescent efficiency and quantum yield of the prepared composition and arrive at the invention as claimed. Thus, Kim, Toru, and Isonaka teach the claimed “A composition comprising a particle, wherein the particle comprises a first particle (A-1) which is a light-emissive particle, the composition further comprises at least one selected from the group consisting of a resin (B) and a polymerizable compound (C), and when the total surface area of the particles contained in 1 g of the composition is defined as Stotal and the total number of polar groups contained in 1 g of the composition is defined as Ptotal, Ptotal/Stotal is 13.5 groups/nm2 or less”.
Regarding claim 2, Kim, Toru, and Isonaka teach the composition of claim 1. Further, each of Kim, Toru, and Isonaka teach that each component of their composition may contain polar groups and that the number of polar groups (pertaining to Toru and Isonaka) represent a variable to control such that dispersibility, aggregation and long-term stability are modified to a desirable extent in the prepared composition. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to modify the amounts of polar groups, as such parameter represent result-effective variables, wherein in a number of polar groups in the composition impact storage stability and dispersibility wherein all such factors impact the luminescent efficiency and quantum yield of the prepared composition and arrive at the invention as claimed. Thus, Kim, Toru, and Isonaka teach the claimed “The composition according to claim 1, wherein the total number of polar groups is the total number of polar groups contained in the first particle (A-1), the resin (B) and the polymerizable compound (C)”
Regarding claim 3, Kim, Toru, and Isonaka teach the composition of claim 1. Kim teaches addition of “scattered particles” (thus a second particle different than the QD or first particle) in the composition wherein the scattered particles serve to increase the path of light emitted from the quantum dots and increase the overall light efficiency. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to further include scattered particles which to increase the path of light emitted from the first particles or quantum dots and increase the overall light efficiency and arrive at the invention as claimed. Thus, Kim, Toru, and Isonaka teach the claimed “The composition according to claim 1, wherein the particle further comprises a second particle (A-2) different from the first particle (A-1)”.
Regarding claim 4, Kim, Toru, and Isonaka teach the composition of claim 3. Kim teaches addition of “scattered particles” (thus a second particle different than the QD or first particle) in the composition wherein the scattered particles serve to increase the path of light emitted from the quantum dots and increase the overall light efficiency. Therefore, the second particle is a light-scattering particle as claimed. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to further include scattered particles which to increase the path of light emitted from the first particles or quantum dots and increase the overall light efficiency and arrive at the invention as claimed. Thus, Kim, Toru, and Isonaka teach the claimed “The composition according to claim 3, wherein the second particle (A-2) is a light-scattering particle”
Regarding claim 5, Kim, Toru, and Isonaka teach the composition of claim 1. Kim teaches the organic ligand may contain carboxyl groups as polar groups. Kim also teaches the resin may be a polymer of a carboxyl group-containing unsaturated monomer (thus carboxy group containing). Further, Kim teaches that the monomers that can be copolymerized with the carboxyl group-containing unsaturated monomer (thus polymerizable compound) may also include carboxylic acid ester compounds, unsaturated carboxylic acid aminoalkyl ester compounds, and unsaturated carboxylic acid glycidyl ester compounds (thus all containing carboxy groups). Additionally, the teachings of Toru and Isonaka in relation to functional groups or polar groups include reference specifically to carboxy groups and thus are relevant teachings to Kim. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to select from any of the polar groups of Kim such as those disclosed carboxy groups as known polar groups capable of enhancing dispersion of quantum dots in prepared compositions and arrive at the invention as claimed. Thus, Kim, Toru, and Isonaka teach the claimed “The composition according to claim 1, wherein the polar group is a carboxy group.”.
Regarding claim 7, Kim, Toru, and Isonaka teach the composition of claim 1. Kim teaches inclusion of a solvent in the composition wherein the solvent is a “liquid content”. The solvent is to be 20-90%, preferably 25-85% by weight, “more preferably 25% by weight, based on 100% by weight” of the entire composition. Thus, the solid content can be 10-80% or more preferably 75% (i.e., the remaining weight % that is not solvent). Overlapping ranges have been held to present a prima facie case of obviousness over the prior art. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to select from the overlapping portion of the range of solid contents to include by weight percentage wherein a suitable dispersibility, light stability, and viscosity are achieved in the prepared composition (evaluation criteria of Kim) to arrive at the invention as claimed. Thus, Kim, Toru, and Isonaka teach the claimed “The composition according to claim 1, wherein the composition has a solids content concentration of 30% by mass or more”.
Regarding claim 8, Kim, Toru, and Isonaka teach the composition of claim 1. Kim teaches implementation of their composition as a color filter which is an optical functional film. The color filter of Kim includes QDs which are the light emitting substance of the color film. The color filter of Kim improves light resistance of QDs, thus enhancing stability and resistance to degradation. Therefore, Kim, Toru, and Isonaka teach the claimed “The composition according to claim 1, wherein the composition is for forming an optical functional film.”.
Regarding claim 9, Kim, Toru, and Isonaka teach the composition of claim 1. Kim teaches their composition is implemented as a coating film/cured film/quantum dot color filter. Thus, Kim, Toru, and Isonaka teach the claimed “A film formed from the composition according to claim 1”.
Regarding claim 10, Kim, Toru, and Isonaka teach the film of claim 9. Further, Kim teaches their film is to be used in display devices such that optical characteristic deterioration is suppressed. Thus, Kim, Toru, and Isonaka teach the claimed “A display device comprising the film according to claim 9”.
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Kim et al (JP2021128339A) in view of Toru et al (WO2019069737A1) and Isonaka et al (US PGPub 20190390076) as applied to claim 1 above, and further in view of Wiesner et al (CN1742094A).
Regarding claim 6, Kim, Toru, and Isonaka teach the composition of claim 1 but are silent specifically on a total surface area of nanoparticles included in an amount of composition. As described in the rejection of claim 1, they each teach reasons as to how QD or particle aggregation impacts light quality characteristics which is influenced in part due to larger surface areas of QDs and thus represents a factor to be modified/controlled. Although utilized outside of film/ink compositions, Wiesner similarly teaches a composition comprising QDs bound to a ligand, a resin and polymerizable monomers wherein the composition pertains to optical properties albeit in biological context. However, such principals of light quality, emission and degradation would thus still remain of importance to one of ordinary skill in the art. Wiesner also emphasizes importance of having a sufficient number of functional groups covering the surface of the bound QDs wherein they provide a total surface area of nanoparticles at 3.35 * 1019 nm2 (thus less than 14*1019 nm2 as claimed). Such a provided surface area enables sufficient amine coverage which is the polar or functional group. It would have been prima facie obvious to one of ordinary skill in the art, as of the effective filing date, to provide a total surface area as informed by Wiesner such that suitable coverage of the ligand on the QD surface is achieved for desired light-emitting characteristics of the composition and arrive at the invention as claimed. Thus, Kim, Toru, Isonaka, and Wiesner teach the claimed “The composition according to claim 1, wherein the total surface area Stotal is 14 x 1019 nm2 or less”
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Yoshihisa (JP2021067718A) teaches a composition comprising QD coordinated with ligand having polar group (carboxy), a resin, a polymerizable monomer, and light scattering particles. Kim et al (US PGPub20200231871) teach a display device and film wherein the film is prepared from a QD having surface coordinated with carboxy group, a light diffusing agent, and a binder comprising carboxy groups.
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/NWFG/Examiner, Art Unit 1759
/MELVIN C. MAYES/Supervisory Patent Examiner, Art Unit 1759
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