Prosecution Insights
Last updated: October 27, 2026
Application No. 19/121,106

METHOD AND APPARATUS FOR INSPECTION FOCUS MEASUREMENT

Non-Final OA §103
Filed
Apr 14, 2025
Priority
Nov 07, 2022 — provisional 63/423,214 +1 more
Examiner
RIDDLE, CHRISTINA A
Art Unit
2882
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
ASML Holding N.V.
OA Round
1 (Non-Final)
81%
Grant Probability
Favorable
1-2
OA Rounds
1y 4m
Est. Remaining
95%
With Interview

Examiner Intelligence

Grants 81% — above average
81%
Career Allowance Rate
761 granted / 940 resolved
+13.0% vs TC avg
Moderate +14% lift
Without
With
+14.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 11m
Avg Prosecution
33 currently pending
Career history
995
Total Applications
across all art units

Statute-Specific Performance

§101
2.7%
-37.3% vs TC avg
§103
47.5%
+7.5% vs TC avg
§102
21.1%
-18.9% vs TC avg
§112
18.9%
-21.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 940 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 Acknowledgement is made that the instant application is a national stage entry of application PCT/EP2023/079327, filed on 10/20/2023, which claims priority from US provisional application 63/423214, filed on 11/7/2022. Claim Objections Claim 8 is objected to because of the following informalities: Claim 8, line 2, “an image plane” should be changed to --the image plane-- to correct antecedence. Appropriate correction is required to place claims in better form. 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 1-4, 6-8, 12, 14, and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Hugers (US PGPub 2008/0151228) in view of Tukker et al. (WO2020/229049, Tukker hereinafter). Regarding claim 1, Hugers discloses a method (Figs. 1-11, abstract, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097]) comprising: introducing an optical element into a measurement arm of a metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system (Figs. 1-11, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the optical path for the detectors includes optical elements to produce beams at the detectors); illuminating a substrate comprising features to be measured by the metrology system with a measurement beam of radiation that passes from the substrate to the image plane (Figs. 1-11, paras. [0070], [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the substrate is illuminated for measurement of a target on the substrate); and controlling a focal position of the substrate on the basis of a first spot characteristic at the image plane at the first position to a second spot characteristic at the image plane at the second position (Figs. 1, 3-11, paras. [0071], [0075], [0077]-[0078], [0080], [0083], [0085]-[0086], [0091]-[0097], a controller 118 moves the objective lens 15, 106 in the z-direction or the substrate W is moved in the z-direction to arrange the substrate at the in focus position based on equal spot sizes or intensities indicating the substrate is in focus). Hugers does not appear to explicitly describe adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions. Tukker discloses introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions (Figs. 1-9, 10-15, 17, paras. [0037]-[0039], [0046], [0055]-[0062], a phase plate or the modulator such as a DOE or geometric phase lens inserted into the optical path prior to detector DET adds a positive defocus at a first position and a negative defocus at a second position). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions as taught by Tukker in the measurement arm of the metrology system in the method as taught by Hugers since including introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions is commonly used to provide improved focus diversity in a single image to improve throughput and quality (Tukker, paras. [0007], [0067]). Regarding claim 2, Hugers as modified by Tukker discloses wherein the first spot characteristic is a first spot size, and the second spot characteristic is a second spot size, and wherein controlling a focal position of the substrate comprises changing a focal position of the substrate until the first spot size and the second spot size are equal (Hugers, Figs. 1, 3-11, paras. [0009]-[0010], [0071], [0075], [0077]-[0078], [0080], [0083], [0085]-[0086], [0091]-[0097], the spot size will be the same on both detectors when the substrate is in focus, and the controller controls the focus position to correctly focus the upper surface of the substrate W). Regarding claim 3, Hugers as modified by Tukker discloses wherein the first spot characteristic is a first intensity, and the second spot characteristic is a second intensity, and wherein controlling a focal position of the substrate comprises changing a focal position of the substrate until the first intensity and the second intensity are equal (Hugers, Figs. 1, 3-11, paras. [0071], [075], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the intensity level will be the same on both detectors when the substrate is in focus, and the controller controls the focus position to correctly focus the upper surface of the substrate W). Regarding claim 4, Hugers as modified by Tukker discloses wherein the optical element is a lens element introduced proximate a pupil plane of the metrology system, and wherein the lens element has a first portion that causes the positive defocus at the first position and a second portion that causes the negative defocus at the second position (Tukker, Figs. 1-9, 10-15, 17, paras. [0027], [0055]-[0062], the geometric phase lens inserted into the optical path proximate to the detector DET and the pupil plane of the metrology system adds a positive defocus at a first position and a negative defocus at a second position). Regarding claim 6, Hugers as modified by Tukker discloses wherein the optical element is a phase plate that has a first portion that causes the positive defocus at the first position and a second portion that causes the negative defocus at the second position (Tukker, Figs. 1-9, 10-15, 17, paras. [0037]-[0039], [0055]-[0062], the phase plate PP (see at least Figs. 5-6) or the modulator, such as a DOE or geometric phase lens, inserted into the optical path prior to detector DET adds a positive defocus at a first position and a negative defocus at a second position). Regarding claim 7, Hugers as modified by Tukker discloses wherein the phase plate is at a position proximate to a pupil plane of the metrology system (Tukker, Figs. 1-9, 10-15, 17, paras. [0027], [0032], [0037]-[0039], [0046], [0055]-[0062], the phase plate PP, DOE or geometric phase lens is proximate a pupil plane the metrology system). Regarding claim 8, Hugers as modified by Tukker discloses wherein the phase plate is at a position proximate an image plane of the metrology system (Tukker, Figs. 1-9, 10-15, 17, paras. [0027], [0037]-[0039], [0046], [0055]-[0062], the phase plate PP, DOE or geometric phase lens is proximate the detector DET at the image plane of the metrology system). Regarding claim 12, Hugers as modified by Tukker discloses wherein the image plane comprises a sensor image plane (Tukker, Figs. 1-9, 10-15, 17, paras. [0027], [0037]-[0039], [0046], [0055]-[0062], the phase plate PP, DOE or geometric phase is proximate the detector DET at the image plane of the metrology system). Regarding claim 14, Hugers as modified by Tukker discloses wherein the optical element comprises an optical element selected from the group consisting of: a machined optical material, a spatial light modulator device, and a deformable mirror (Tukker, Figs. 1-9, 10-15, 17, paras. [0027], [0037]-[0039], [0046], [0055]-[0062], DOE comprises a phase grating, and geometric phase lens GPL is a liquid crystal polymer film). Regarding claim 20, Hugers as modified by Tukker discloses a non-transitory computer program product comprising stored machine-readable instructions configured to cause one or more processors to cause performance of at least the method of claim 1 (see claim 1 rejection above, Hugers, Figs. 1-11, abstract, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], [0102], a semiconductor memory, magnetic or optical disk stores a computer program to perform the method). Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Hugers as modified by Tukker as applied to claim 1 above, and further in view of Ogasawara et al. (US PGPub 2002/008233, Ogasawara hereinafter). Regarding claim 5, Hugers as modified by Tukker does not appear to explicitly describe wherein the measurement arm of the metrology system includes a quad wedge proximate a pupil plane of the metrology system. Ogasawara discloses wherein the measurement arm of the metrology system includes a quad wedge proximate a pupil plane of the metrology system (Figs. 6-21, paras. [0075], [0077]-[0082], [0084]-[0088], focus error detecting optical element 18 proximate photodetector 19 includes four quadrants including lens sections 31-34). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included wherein the measurement arm of the metrology system includes a quad wedge proximate a pupil plane of the metrology system as taught by Ogasawara in the measurement arm proximate the pupil plane of the metrology system in the method as taught by Hugers as modified by Tukker since including wherein the measurement arm of the metrology system includes a quad wedge proximate a pupil plane of the metrology system is commonly used to condition the radiation detected by the detector as desired to minimize unwanted astigmatism and noise (Ogasawara, paras. [0015], [0022], [0150]). Claims 9-10 are rejected under 35 U.S.C. 103 as being unpatentable over Hugers as modified by Tukker as applied to claim 6 above, and further in view of Kramer et al. (WO2020/253898, Kramer hereinafter; English translation attached). Regarding claim 9, Hugers as modified by Tukker does not appear to explicitly describe further comprising placing an array of apertures at an object plane of the metrology system. Kramer discloses placing an array of apertures at an object plane of the metrology system (Figs. 9, 12-16, 18, 20, 22, 24-27, 29-36, pages 15-16 of the English translation, diaphragm device 15 includes apertures of selection devices 11 and 12 to form images on the detectors 21, 22). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included placing an array of apertures at an object plane of the metrology system as taught by Kramer in the object plane of the metrology system in the method as taught by Hugers as modified by Tukker since including placing an array of apertures at an object plane of the metrology system is commonly used to provide a structure that reduces interference while improving focus position detection sensitivity (Kramer, pages. 5 and 16-17). Regarding claim 10, Hugers as modified by Tukker in view of Kramer discloses wherein each aperture of the array of apertures corresponds to a respective position in the image plane of the metrology system (Kramer, Figs. 9, 12-16, 18, 20, 22, 24-27, 29-36, pgs. 15-16, diaphragm device 15 includes apertures of selection devices 11 and 12 to form images on the detectors 21, 22). Claim 11 is rejected under 35 U.S.C. 103 as being unpatentable over Hugers as modified by Tukker as applied to claim 6 above, and further in view of Boef et al. (US PGPub 2006/0066855, Boef hereinafter). Regarding claim 11, Hugers as modified by Tukker does not appear to explicitly describe wherein the image plane comprises an intermediate image plane. Boef discloses wherein the image plane comprises an intermediate image plane (Fig. 11, para. [0138], wedges are arranged in the intermediate image plane 42). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included wherein the image plane comprises an intermediate image plane as taught by Boef in the method as taught by Hugers as modified by Tukker since including wherein the image plane comprises an intermediate image plane is commonly used to detect angle-resolved spectra at multiple illumination spots to enable accurate measurements with improved throughput (Boef, paras. [0137]-[0138]). Claim 13 is rejected under 35 U.S.C. 103 as being unpatentable over Hugers as modified by Tukker applied to claim 1 above, and further in view of Singh et al. (US PGPub 2016/0011523, Singh hereinafter). Regarding claim 13, Hugers as modified by Tukker does not appear to explicitly describe wherein the measurement arm of the metrology system comprises a dark-field microscopic camera measurement arm. Singh discloses wherein the measurement arm of the metrology system comprises a dark-field microscopic camera measurement arm (Figs. 8, 10, paras. [0064], [0125]-[0126], [0137], the inspection apparatus is a dark-field imaging apparatus It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included wherein the measurement arm of the metrology system comprises a dark-field microscopic camera measurement arm as taught by Singh in the method as taught by Hugers as modified by Tukker since including wherein the measurement arm of the metrology system comprises a dark-field microscopic camera measurement arm is commonly used to allow the use of smaller targets and measurement of targets simultaneously to use a smaller measurement footprint on the wafer while maintaining high throughput (Singh, paras. [0005], [0126]). Claims 15 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Hugers in view of Tukker in view of Bringoltz et al. (US PGPub 2015/0204664, Bringoltz hereinafter). Regarding claim 15, Hugers discloses a method (Figs. 1-11, abstract, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097]) comprising: introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system (Figs. 1-11, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the optical path for the detectors includes optical elements to produce beams at the detectors); illuminating a substrate comprising features to be measured by the metrology system with a measurement beam of radiation that passes from the substrate to the image plane (Figs. 1-11, paras. [0070], [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the substrate is illuminated for measurement of a target on the substrate); comparing a first spot characteristic at the image plane at the first position to a second spot characteristic at the image plane at the second position (Figs. 1, 3-6, 11, paras. [0071], [0077], [0078], [0080], [0083], [0085]-[0086], [0091]-[0097], the spot size or intensity level will be the same on both detectors when the substrate is in focus and a comparator determines when the spot size or intensity level are equal, and a controller 118 moves the objective lens 15, 106 in the z-direction or the substrate W is moved in the z-direction to arrange the substrate at the based on output of the detector); and changing a focal position of the substrate until the first spot characteristic and the second spot characteristic are equal (Figs. 1, 3-6, 11, paras. [0071], [0077], [0078], [0080], [0083], [0085]-[0086], [0091]-[0097], the spot sizes are the same on both detectors when the substrate is in focus and the controller controls the object lens or position of the substrate W to arrange the substrate in the correct focus). Hugers does not appear to explicitly describe adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions, and an illumination pattern of the measurement beam having a plurality of separate sources. Tukker discloses introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions (Figs. 1-9, 10-15, 17, paras. [0037]-[0039], [0046], [0055]-[0062], a phase plate or the modulator such as a DOE or geometric phase lens inserted into the optical path prior to detector DET adds a positive defocus at a first position and a negative defocus at a second position). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions as taught by Tukker in the measurement arm of the metrology system in the method as taught by Hugers since including introducing an optical element into a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions is commonly used to provide improved focus diversity in a single image to improve throughput and quality (Tukker, paras. [0007], [0067]). Huges as modified by Tukker does not appear to explicitly describe an illumination pattern of the measurement beam having a plurality of separate sources. Bringoltz discloses an illumination patten of the measurement beam having a plurality of separate sources (Figs. 5-6, 10-11, paras. [0074]-[0076], [0106]-[0107], [0115]-[0122], [0160], a beam splitter 42 generates at least two illumination beams to illuminate respective target cells on a substrate). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included an illumination patten of the measurement beam having a plurality of separate sources as taught by Bringoltz in the method as taught by Hugers as modified by Tukker since including an illumination patten of the measurement beam having a plurality of separate sources is commonly used to provide multiple illumination beams for simultaneously measuring multiple target regions on the substrate to accurately measure overlay error (Bringoltz, paras. [0011], [0074], [0110], [0115], [0124], [0160]). Regarding claim 19, Hugers as modified by Tukker discloses a non-transitory computer program product comprising stored machine-readable instructions configured to cause one or more processors to cause performance of at least the method of claim 15 (see claim 15 rejection above, Hugers, Figs. 1-11, abstract, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], [0102], a semiconductor memory, magnetic or optical disk stores a computer program to perform the method). Claims 16-18 are rejected under 35 U.S.C. 103 as being unpatentable over Hugers in view of Tukker in view of Liu et al. (US PGPub 2022/0252512, Liu hereinafter). Regarding claim 16, Hugers discloses a system (Figs. 1-11, abstract, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097]) comprising: an optical element in a measurement arm of a metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system (Figs. 1-11, paras. [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the optical path for the detectors includes optical elements to produce beams at the detectors); optics configured to illuminate a substrate comprising features to be measured by the metrology system with a measurement beam of radiation that passes from the substrate to the image plane (Figs. 1-11, paras. [0070], [0071], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the substrate is illuminated by optics for measurement of a target on the substrate); and a focal position controller configured to control a focal position of the substrate on the basis of a first spot characteristic at the image plane at the first position to a second spot characteristic at the image plane at the second position (Figs. 1, 3-11, paras. [0071], [0075], [0077]-[0078], [0080], [0083], [0085]-[0086], [0091]-[0097], a controller 118 moves the objective lens 15, 106 in the z-direction or the substrate W is moved in the z-direction to arrange the substrate at the in focus position based on equal spot sizes or intensities indicating the substrate is in focus). Hugers does not appear to explicitly describe the optical element movable into and out of the measurement arm and adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions. Tukker discloses an optical element in a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions (Figs. 1-9, 10-15, 17, paras. [0037]-[0039], [0046], [0055]-[0062], a phase plate or the modulator such as a DOE or geometric phase lens inserted into the optical path prior to detector DET adds a positive defocus at a first position and a negative defocus at a second position). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included an optical element in a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions as taught by Tukker in the measurement arm of the metrology system as taught by Hugers since including an optical element in a measurement arm of the metrology system, the optical element configured and arranged to modify a point spread function at at least two different positions in an image plane of the metrology system by adding a positive defocus to a first position of the at least two different positions and a negative defocus to a second position of the at least two different positions is commonly used to provide improved focus diversity in a single image to improve throughput and quality (Tukker, paras. [0007], [0067]). Although Hugers as modified by Tukker discloses multiple optical elements (Tukker, Figs. 1-9, 10-15, 17, paras. [0037]-[0039], [0046], [0055]-[0062], a phase plate or the modulator, such as a DOE or geometric phase lens, inserted into the optical path prior to detector DET), Hugers as modified by Tukker does not appear to explicitly describe the optical element movable into and out of the measurement arm. Liu discloses an optical element movable into and out of the measurement arm (Figs. 1A-1F, paras. [0030], [0060]-[0066], [0079]-[0081], [0089], [0093], a component selector selectively inserts one or more phase plates 150 into the collection pathway at the pupil plane). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have included an optical element movable into and out of the measurement arm as taught by Liu in the system as taught by Hugers as modified by Tukker since including an optical element movable into and out of the measurement arm is commonly used to efficiently correct different aberrations at any depth in the imaging system (Liu, paras. [0026]-[0027], [0081]-[0082], Regarding claim 17, Hugers as modified by Tukker in view of Liu discloses wherein the first spot characteristic is a first spot size, and the second spot characteristic is a second spot size, and wherein the focal position controller is configured to change a focal position of the substrate until the first spot size and the second spot size are equal (Hugers, Figs. 1, 3-11, paras. [0009]-[0010], [0071], [0075], [0077]-[0078], [0080], [0083], [0085]-[0086], [0091]-[0097], the spot size will be the same on both detectors when the substrate is in focus, and the controller controls the focus position to correctly focus the upper surface of the substrate W). Regarding claim 18, Hugers as modified by Tukker in view of Liu discloses wherein the first spot characteristic is a first intensity, and the second spot characteristic is a second intensity, and wherein the focal position controller is configured to change a focal position of the substrate until the first intensity and the second intensity are equal (Hugers, Figs. 1, 3-11, paras. [0071], [075], [0077], [0080], [0083], [0085]-[0086], [0091]-[0097], the intensity level will be the same on both detectors when the substrate is in focus, and the controller controls the focus position to correctly focus the upper surface of the substrate W). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHRISTINA A. RIDDLE whose telephone number is (571)270-7538. The examiner can normally be reached M-Th 6:30AM-5PM. 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, Minh-Toan Ton can be reached at (571)272-2303. 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. /CHRISTINA A RIDDLE/Primary Examiner, Art Unit 2882
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Prosecution Timeline

Apr 14, 2025
Application Filed
Sep 22, 2026
Non-Final Rejection mailed — §103 (current)

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Expected OA Rounds
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2y 11m (~1y 4m remaining)
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