Prosecution Insights
Last updated: October 25, 2026
Application No. 18/858,889

HYBRID INTEGRATION METHODS, DEVICES, AND SYSTEMS EXPLOITING ACTIVE-PASSIVE PHOTONIC ELEMENTS

Non-Final OA §102§103
Filed
Oct 22, 2024
Priority
Apr 28, 2022 — provisional 63/363,730 +1 more
Examiner
LOTTER, DAVID E
Art Unit
1741
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Aeponyx Inc.
OA Round
1 (Non-Final)
85%
Grant Probability
Favorable
1-2
OA Rounds
2m
Est. Remaining
94%
With Interview

Examiner Intelligence

Grants 85% — above average
85%
Career Allowance Rate
526 granted / 619 resolved
+20.0% vs TC avg
Moderate +9% lift
Without
With
+9.4%
Interview Lift
resolved cases with interview
Typical timeline
2y 2m
Avg Prosecution
14 currently pending
Career history
639
Total Applications
across all art units

Statute-Specific Performance

§101
0.6%
-39.4% vs TC avg
§103
53.5%
+13.5% vs TC avg
§102
20.1%
-19.9% vs TC avg
§112
18.4%
-21.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 619 resolved cases

Office Action

§102 §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. Information Disclosure Statement The information disclosure statement (IDS) submitted 10/22/2024 is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. 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. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claims 1 is rejected under 35 U.S.C. 102(a)(1) & 35 U.S.C. 102(a)(2) as being anticipated by Swanson (US 2019/0212761), hereinafter Swanson. Regarding claim 1 Swanson discloses a method of forming an optical waveguide within a material comprising: establishing a spatial profile for a focal region of an irradiating source through a volume of a material from a first side of the material to a second distal side of the material (e.g., Abstract, paragraphs 0050, 0054, 0056,0084-0089, claim 1, Figs. 4 and 6A-6D); and executing a motion sequence such that the focal region the irradiating source traverses the spatial profile within the volume of the material (e.g., paragraphs 0056, 0086, 0111, 0136; Figs. 6A-6D, 11A-E); wherein the optical waveguide is formed through the volume of the material from the first side of the material to the second distal side of the material (e.g., paragraphs 0056, 0086, 0111, 0136; Figs. 6A-6D, 11A-E). 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 2 is rejected under 35 U.S.C. 103 as being unpatentable over Swanson in view of Ashrafi (US 2019/0165849), hereinafter Ashrafi. Regarding claim 2 Swanson does not explicitly teach the method according to claim 1, wherein the spatial profile comprises: a bottom horizontal portion executed with an initial spiral sequence forming part of the motion sequence at the first side of the material; and an ascending vertical portion executed with a helical sequence forming another part of the motion sequence to traverse from the first side of the material to the second side of the material. Ashrafi teaches wherein the spatial profile comprises: a bottom horizontal portion executed with an initial spiral sequence forming part of the motion sequence at the first side of the material; and an ascending vertical portion executed with a helical sequence forming another part of the motion sequence to traverse from the first side of the material to the second side of the material (paragraphs 0129, 0131, 0132, 0184, 0185; Figs. 10C-D and 22). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the method of forming an optical waveguide within a material disclosed by Swanson in accordance with the teaching of Ashrafi regarding wherein the spatial profile comprises: a bottom horizontal portion executed with an initial spiral sequence forming part of the motion sequence at the first side of the material; and an ascending vertical portion executed with a helical sequence forming another part of the motion sequence to traverse from the first side of the material to the second side of the material in order to impart a spatial profile of the optical beam. Allowable Subject Matter Claims 3-5 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: Regarding dependent claim 3, patentability exists, at least in part, with the claimed features of wherein the focal region of the irradiating source results in a reduction in refractive index such that the spatial profile relates to a cladding of the optical waveguide; the spatial profile comprises: a bottom horizontal portion executed with an initial spiral sequence forming part of the motion sequence at the first side of the material; and an ascending vertical portion executed with a helical sequence forming another part of the motion sequence to traverse from the first side of the material to the second side of the material; the helical sequence employs a helix which alternates inside and outside of another volume of the material; and the another volume forms the cladding such that the entire optical waveguide can be generated in a single scan. Swanson and Ashrafi are both cited as teaching some elements of the claimed invention including a method of forming an optical waveguide within a material including establishing a spatial profile for a focal region of an irradiating source through a volume of a material from a first side of the material to a second distal side of the material. However, the prior art, when taken alone, or, in combination, cannot be construed as reasonably teaching or suggesting all of the elements of the claimed invention as arranged, disposed, or provided in the manner as claimed by the Applicant. Regarding dependent claim 4, patentability exists, at least in part, with the claimed features of wherein the material is bismuth-doped iron garnet; the optical waveguide is formed along a predetermined axis of the bismuth-doped iron garnet such that the optical waveguide provides magnetless Faraday rotation of optical signals propagating through the optical waveguide; and a thickness of the material from the first side of the material to the second side of the material defines a magnitude of a polarization rotation to the optical signals propagating in one direction with the optical waveguide. Swanson and Ashrafi are both cited as teaching some elements of the claimed invention including a method of forming an optical waveguide within a material including establishing a spatial profile for a focal region of an irradiating source through a volume of a material from a first side of the material to a second distal side of the material. However, the prior art, when taken alone, or, in combination, cannot be construed as reasonably teaching or suggesting all of the elements of the claimed invention as arranged, disposed, or provided in the manner as claimed by the Applicant. Regarding dependent claim 5, patentability exists, at least in part, with the claimed features of wherein the focal region of the irradiating source results in a reduction in refractive index such that the spatial profile relates to a cladding of the optical waveguide; the spatial profile comprises: a bottom horizontal portion executed with an initial spiral sequence forming part of the motion sequence at the first side of the material; and an ascending vertical portion executed with a helical sequence forming another part of the motion sequence to traverse from the first side of the material to the second side of the material; the helical sequence employs a helix which alternates inside and outside of another volume of the material; the another volume forms the cladding such that the entire optical waveguide can be generated in a single scan; the material is bismuth-doped iron garnet; the optical waveguide is formed along a predetermined axis of the bismuth-doped iron garnet such that the optical waveguide provides magnetless Faraday of rotation of optical signals propagating the through the optical waveguide; and a thickness of the material from the first side of the material to the second side of the material defines a magnitude of a polarization rotation to the optical signals propagating in one direction with the optical waveguide. Swanson and Ashrafi are both cited as teaching some elements of the claimed invention including a method of forming an optical waveguide within a material including establishing a spatial profile for a focal region of an irradiating source through a volume of a material from a first side of the material to a second distal side of the material. However, the prior art, when taken alone, or, in combination, cannot be construed as reasonably teaching or suggesting all of the elements of the claimed invention as arranged, disposed, or provided in the manner as claimed by the Applicant. Claims 8-21 allowed. The following is an examiner’s statement of reasons for allowance: Regarding independent claim 8, patentability exists, at least in part, with the claimed features of assembling the optical component upon a first carrier; and assembling the PIC upon a second carrier; wherein the first carrier is either a substrate of the PIC or an intermediate carrier between the optical component and the second carrier; a first portion of the optical component provides a passive optical function; a second portion of the optical component provides an active optical function; and the optical component is at least one of a thin film structure or a bulk structure. Swanson and Ashrafi are both cited as teaching some elements of the claimed invention including a method comprising: providing an optical component; providing a photonic integrated circuit comprising an input waveguide coupled to a first end of the optical component for at least one of coupling optical signals to or receiving optical signals from the optical component; an output waveguide coupled to a second distal end of the optical component for at least one of coupling optical signals to or receiving optical signals from the optical component. However, the prior art, when taken alone, or, in combination, cannot be construed as reasonably teaching or suggesting all of the elements of the claimed invention as arranged, disposed, or provided in the manner as claimed by the Applicant. Regarding independent claim 16, patentability exists, at least in part, with the claimed features of forming a first photonic wire bond (PWB) disposed between the optical component and the input waveguide; the first carrier is either a substrate of the PIC or an intermediate carrier between the optical component and the second carrier; wherein a first portion of the optical component provides a passive optical function; a second portion of the optical component provides an active optical function; and the optical component is at least one of a thin film structure or a bulk structure. Swanson and Ashrafi are both cited as teaching some elements of the claimed invention including a method comprising: providing an optical component comprising an input waveguide coupled to a first end of the optical component for at least one of coupling optical signals to or receiving optical signals from the optical component; assembling the optical component upon a first carrier; and assembling the PIC upon a second carrier. However, the prior art, when taken alone, or, in combination, cannot be construed as reasonably teaching or suggesting all of the elements of the claimed invention as arranged, disposed, or provided in the manner as claimed by the Applicant. Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled “Comments on Statement of Reasons for Allowance.” Conclusion The Examiner has pointed out particular references contained in the prior art of record within the body of this action for the convenience of the Applicant. Although the specified citations are representative of the teachings in the art and are applied to the specific limitations within the individual claim, other passages and figures may apply. Applicant, in preparing the response, should consider fully the entire reference aspotentially teaching all or part of the claimed invention, as well as the context of thepassage as taught by the prior art or disclosed by the Examiner. Any inquiry concerning this communication or earlier communications from the examiner should be directed to DAVID E LOTTER whose telephone number is (571)270-7422. The examiner can normally be reached M-F 10am-6pm. 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, Dameon Levi can be reached at 571-272-2105. 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. DAVID E. LOTTER Primary Examiner Art Unit 2845 /DAVID E LOTTER/Primary Examiner, Art Unit 2845
Read full office action

Prosecution Timeline

Oct 22, 2024
Application Filed
Sep 30, 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
85%
Grant Probability
94%
With Interview (+9.4%)
2y 2m (~2m remaining)
Median Time to Grant
Low
PTA Risk
Based on 619 resolved cases by this examiner. Grant probability derived from career allowance rate.

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