Prosecution Insights
Last updated: October 23, 2026
Application No. 18/907,086

OPTICAL MODULATOR AND ELECTRONIC APPARATUS INCLUDING THE SAME

Non-Final OA §103
Filed
Oct 04, 2024
Priority
Oct 06, 2023 — provisional 63/542,917 +1 more
Examiner
FISSEL, TRAVIS S
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
The Board of Trustees of the Leland Stanford Junior University
OA Round
1 (Non-Final)
76%
Grant Probability
Favorable
1-2
OA Rounds
9m
Est. Remaining
87%
With Interview

Examiner Intelligence

Grants 76% — above average
76%
Career Allowance Rate
433 granted / 568 resolved
+8.2% vs TC avg
Moderate +11% lift
Without
With
+10.6%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
25 currently pending
Career history
599
Total Applications
across all art units

Statute-Specific Performance

§101
1.7%
-38.3% vs TC avg
§103
53.7%
+13.7% vs TC avg
§102
20.5%
-19.5% vs TC avg
§112
20.1%
-19.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 568 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. 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. The factual inquiries set forth in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), that are applied for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows: 1. Determining the scope and contents of the prior art. 2. Ascertaining the differences between the prior art and the claims at issue. 3. Resolving the level of ordinary skill in the pertinent art. 4. Considering objective evidence present in the application indicating obviousness or nonobviousness. Claims 1-3, 5-9, 11-17 and 19-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Park et al. (PGPUB 20220050354) in view of Kwon et al. (PGPUB 20040263757) and further in view of Park et al. (PGPUB 20210405500 hereinafter “Park’5500”) Regarding claim 1, Park discloses an optical modulator comprising: a substrate (20); and a plurality of unit structures periodically on the substrate (Fig. 1A/B), wherein one of the plurality of unit structures comprises: a heater layer on a first surface of the substrate (120, [0090] where 120 conducts heat from 110); an antenna on a first surface of the heater layer, the antenna comprising a phase change material (130, [0068]). While park discloses a layer on top of the GST in Fig. 4A, it does not specifically teach that this layer is a passivation layer. However, Kwon teaches a layered optical device (Fig. 6F) wherein the entire device is covered with a passivation layer (136). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine Park and Kwon such that the layer on top of the GST in Fig. 4A was a passivation layer motivated by protecting the sensitive optical elements from damage or debris. Park does not disclose a reflector on a second surface of the substrate opposite to the first surface of the substrate. However, Park’5500 teaches a similar optical modulating device (1) wherein a substrate (212) comprises a reflector (211) on a second surface of the substrate opposite to the first surface of the substrate (Fig. 6). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine modified Park and Park’5500 such that a reflector was placed on the opposite side of the substrate motivated by improving reflection efficiency. Regarding claim 2, modified Park discloses wherein the antenna contacts the first surface of the heater layer (Fig. 1B). Regarding claim 3, modified Park discloses wherein a width of the antenna in a horizontal direction is less than a wavelength of light incident of the plurality of unit structures ([0073]). Regarding claim 5, modified Park discloses wherein the phase change material comprises Ge, Sb and Te ([0068]). Regarding claim 6, modified Park discloses wherein a material phase of the antenna changes based on a change in a temperature of the heater layer due to a voltage being applied to the heater layer ([0085]). Regarding claim 7, modified Park discloses wherein a width of the heater layer is greater than a width of the antenna in a horizontal direction (Fig. 1B). Regarding claim 8, modified Park discloses wherein the heater layer comprises Au, Al, Ag, Cu or W ([0074]). Regarding claim 9, modified Park discloses wherein the passivation layer comprises oxide or nitride ([0017] of Kwon). Regarding claim 11, modified Park discloses wherein the reflector comprises a metal material ([0092] of Park’5500). Regarding claim 12, modified Park discloses wherein the substrate comprises an insulating substrate (Park’5500 [0091]). Regarding claim 13, modified Park discloses wherein the plurality of unit structures are configured to be respectively and independently driven and are configured to steer light reflected from the optical modulator to a point based on a phase profile formed by the plurality of unit structures ([0069] and [0107] of Park’5500). Regarding claim 14, modified Park discloses wherein the plurality of unit structures are one-dimensionally or two-dimensionally provided on the substrate ([0028] of Park). Regarding claim 15, Park discloses an electronic apparatus comprising: an optical modulator comprising (Abst): a substrate (20); and a plurality of unit structures periodically on the substrate (Fig. 1A/B), wherein one of the plurality of unit structures comprises: a heater layer on a first surface of the substrate (120, [0090] where 120 conducts heat from 110); an antenna on a first surface of the heater layer, the antenna comprising a phase change material (130, [0068]). While park discloses a layer on top of the GST in Fig. 4A, it does not specifically teach that this layer is a passivation layer. However, Kwon teaches a layered optical device (Fig. 6F) wherein the entire device is covered with a passivation layer (136). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine Park and Kwon such that the layer on top of the GST in Fig. 4A was a passivation layer motivated by protecting the sensitive optical elements from damage or debris. Park does not disclose a reflector on a second surface of the substrate opposite to the first surface of the substrate. However, Park’5500 teaches a similar optical modulating device (1) wherein a substrate (212) comprises a reflector (211) on a second surface of the substrate opposite to the first surface of the substrate (Fig. 6). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine modified Park and Park’5500 such that a reflector was placed on the opposite side of the substrate motivated by improving reflection efficiency. Regarding claim 16, Park discloses a beam steering apparatus comprising: a light source configured to emit a laser beam ([0142]); an optical modulator configured to steer the laser beam incident from the light source ([0143]); and a detector configured to detect the steered laser beam ([0103]), wherein the optical modulator comprises: a substrate (20); and a plurality of unit structures periodically on the substrate (Fig. 1A/B), wherein one of the plurality of unit structures comprises: a heater layer on a first surface of the substrate (120, [0090] where 120 conducts heat from 110); an antenna on a first surface of the heater layer, the antenna comprising a phase change material (130, [0068]). While park discloses a layer on top of the GST in Fig. 4A, it does not specifically teach that this layer is a passivation layer. However, Kwon teaches a layered optical device (Fig. 6F) wherein the entire device is covered with a passivation layer (136). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine Park and Kwon such that the layer on top of the GST in Fig. 4A was a passivation layer motivated by protecting the sensitive optical elements from damage or debris. Park does not disclose a reflector on a second surface of the substrate opposite to the first surface of the substrate. However, Park’5500 teaches a similar optical modulating device (1) wherein a substrate (212) comprises a reflector (211) on a second surface of the substrate opposite to the first surface of the substrate (Fig. 6). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine modified Park and Park’5500 such that a reflector was placed on the opposite side of the substrate motivated by improving reflection efficiency. Regarding claim 16, modified Park discloses wherein the antenna contacts the first surface of the heater layer (Fig. 1B). Regarding claim 19, modified Park discloses wherein the heater layer comprises Au, Al, Ag, Cu or W ([0074]). Regarding claim 20, modified Park discloses wherein the passivation layer comprises oxide or nitride ([0017] of Kwon). Claims 4 and 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Park in view of Kwon in view of Park’5500 and further in view of Abdollahramezani et al. (PGPUB 20230288773). Regarding claim 4 and 18, modified Park does not disclose wherein the phase change material comprises Sb2Se3 or Sb2S3. However, Abdollahramezani teaches an optical modulating device ([0010]) comprising a phase change material comprising antimony sulfide or antimony selenide ([0137]). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine modified Park and Abdollahramezani such that the phase change material comprised antimony sulfide or antimony selenide motivated by improving the optical characteristics depending on the specific wavelength application. Claim 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Park in view of Kwon in view of Park’5500 and further in view of Lim (PGPUB 20030193626). Regarding claim 10, modified Park does not disclose wherein a thickness of the passivation layer is 20 nm to 50 nm in a vertical direction. However, Lim teaches an optical array substrate comprising a passivation layer (152) having a thickness of 50 nm ([0060]). It would have been obvious to one having ordinary skill in the art as of the effective filing date of the invention to combine modified Park and Lim such that the passivation layer was 50 nm motivated by reducing manufacturing costs. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to TRAVIS S FISSEL whose telephone number is (313)446-6573. The examiner can normally be reached on 9AM-5PM. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Stephone Allen can be reached on (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 an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative or access to the automated information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /TRAVIS S FISSEL/Primary Examiner, Art Unit 2872
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Prosecution Timeline

Oct 04, 2024
Application Filed
Oct 01, 2026
Non-Final Rejection mailed — §103 (current)

Precedent Cases

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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
76%
Grant Probability
87%
With Interview (+10.6%)
2y 9m (~9m remaining)
Median Time to Grant
Low
PTA Risk
Based on 568 resolved cases by this examiner. Grant probability derived from career allowance rate.

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