SEL EXHIBIT NO. 2027
`
`INNOLUX CORP. V. PATENT OF SEMICONDUCTOR ENERGY
`
`LABORATORY CO., LTD.
`
`lPR2013—00066
`
`

`

`
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Page 1
`
`IPR2013—00066
`
`) ) ) )
`
`)
`
`) U.S. Pat. No.
`
`7,876,413
`
`)
`
`> ) >
`
`INNOLUX CORPORATION,
`
`Petitioner,
`
`vs,
`
`SEMICONDUCTOR ENERGY
`
`LABORATORY CO., LTD.,
`
`Patent Owner.
`
`The videotaped deposition of MICHAEL J.
`
`ESCUTI, Ph.D., called by the Petitioner for
`
`examination, pursuant to Notice, and pursuant to
`
`the applicable rules,
`
`taken before Sandra L.
`
`Rocca, CSR, CRR, at 115 South LaSalle Street,
`
`Chicago, Illinois, on the 5th day of September,
`
`2013, at the hour of 9:39 a.m.
`
`
`
`
`
`
`
`312—442-9087
`
`Veritcxt Chicago Reporting Company
`800-248-3290
`
`847-406-3200
`
`

`

` 1
`
`APPEARANCES:
`
`Page 2
`
`JEFFER MANGELS BUTLER & MITCHELL, LLP
`By: MR. STANLEY M. GIBSON
`3 Park Plaza, Suite 1100
`Irvine, CA 92614
`(949) 623-7200/Fax: (949) 623—7202
`sgibson@jrnbm.corn
`appeared on behalf of the
`Petitioner;
`
`STEPTOE & JOHNSON, LLP
`By: MR. STANLEY A. SCHLHTER
`115 South LaSalle Street
`Chicago, 1L 60603
`(312) 577-1250/Fax: (312) 577—1370
`sschlitter@steptoe.com
`-aud—
`HUSCH BLACKWELL LLP
`By: MR. EDWARD D. MANZO
`120 South Riverside Plaza
`Suite 2200
`Chicago, IL 60606
`(312) 526—1535/Fax: (312) 655-1501
`edward.manzo@huschblackwell.com
`appeared on behalf of the
`Patent Owner.
`
`Also Present:
`Ms. Mary Ann Naas, Videographer
`
`3
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`5
`6
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`78
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`9
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`[N D E X
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`WITNESS
`
`’ PAGE
`
`WCHAEL J. ESCUTL PhD.
`EXANEINED BY
`
`Mr. Gibson
`Mr. Schlitter
`
`5
`273
`
`Z
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`3
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`4
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`5
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`67
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`EXHIBITS
`
`PRESENTED
`
`8 NUMBER
`9 Deposition Exhibit
`64
`10 No. 1001 U,S.Pat No. 7,876,413
`64
`11 No. 1003 U.S. Pat No. 5,536,329
`12 No. 1004 Nakarnoto patent, English and
`Japanese translations
`64
`13
`
`No.
`
`14
`
`1006 Imagine Optix web page
`
`31
`
` 1
`
`
`
`Page 4
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`PRESENTED
`
`13251113118
`
`1
`2 NUMBER
`3 Deposition Exhibit
`4 No. 1013 schematic Fig. B (Modified
`Fig. 4 of Shiba) from Escuti
`'204 declaration, pg. 50
`5
`130
`6 No. 1014 NewModified Fig. 4 of
`Shiba schematic
`139
`7
`
`N01 1015 US. Pat No. 7,697,102
`
`N0. 1016 US. Pat. No. 6,404,480
`No. 1017 SlilrcMO 0064398
`
`No. 1018 U.S.1’aLNo. 5,684,555
`
`8
`
`9
`
`10
`
`11
`
`176
`
`178
`179
`
`183
`
`No. 1019 schematics and hand drawings
`re Metal-1 and Metal—2
`220
`12
`13 No. 1020 schematics and hand drawings
`re Fig. C and Fig. D
`227
`14
`
`No. 2010 schematic re Fig. 2C prior art 66
`No. 2012 M Escuti Declaration
`29
`
`15
`
`16
`
`No. 2013 LG Display product info
`web pages, 2 pgs.
`116
`17
`18 No. 2014 Chunghwa Picture Tubes web
`page, 1 pg.
`116
`19
`
`No. 2015 ShinMaywa web page, 2 pgs.
`
`116
`
`No. 2016 Pascal web page, 2 pgs.
`
`116
`
`No. 2017 Micro-Tee web pages, 7 pgs.
`
`No. 2018 ULVAC web pages, 2 pgs.
`
`116
`
`116
`
`No. 2019 MicroFab web page, 4 pgs.
`
`116
`
`N0. 2020 SH Technology web pages,
`4 pgs.
`1 16
`
`20
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`21
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`22
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`23
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`24
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`25
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`Page 5
`VIDEOGRAPHER: My name is Mary AnnNaas
`1
`2 of Veritext. Today's date is September 5th, 2013.
`3 The time is approximately 9:39.
`4
`This deposition is being held in the
`5 office of Steptoe & Johnson located at 115 South
`6 LaSalle Street, Chicago, Illinois.
`7
`The caption of the case is Innolux Corp.
`8 versus Patent of Semiconductor Energy Lab in the
`9 United States Patent and Trademark Ofi‘ice. The
`10 name ofthe witness is Dr. Michael Escuti.
`
`At this time will the attorneys please
`11
`12 identify themselves, after which our court
`13 reporter, Sandra Rocca of Veritext, will swear in
`14 the witness and we can proceed.
`15
`MR. GIBSON: Stan Gibson on behalf of
`16 the Petitioner.
`17
`MR. SCHLITIER: Stan Schlitter of
`
`18 Steptoe & Johnson and Edward Manzo of Husch
`19 Blackwell on behalf of the patent owner.
`20
`MICHAEL J. ESCUTI, Ph.D.,
`21 having been first duly sworn, was examined and
`22 testified as follows:
`23
`EXAMINATION
`24 BY MR. GIBSON:
`
`Q. Good morning. Could you state your name
`
`25
`
`
`
`Page 3
`
`No. 1007 NC State web page re
`Escuti bio
`33
`15
`16 No. 1008 Opto-Electronics & Lightwave
`Engineering Group web pages
`34
`17
`
`No. 1009 Opto—Electronics & Lightwave
`Engineering Group web pages
`re history
`35
`
`No.
`
`1010 NSF Lab Module web pages
`
`37
`
`No. 1011 schematic of Shiba Fig. 4 from
`Escuti '413 declaration
`pg. 94
`129
`
`No, 1012 Fig. A schematic of Shiba
`Fig. 4 from Escnti ‘204
`declaration, pg. 49
`‘
`
`130
`
`18
`19
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`20
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`21
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`22
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`23
`24
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`‘ (continued)
`25
` _
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`Page 6
`.
`Page 8
`l petition?
`2
`A. My assignment is to and was to consider
`
`3 the prior art in relative terms to this patent and
`4 evaluate the positions that the positioner —- that
`5 the Petitioner was taking toward the Board or has
`6 taken in the petition and form opinions about
`7 those and advise the team on what the technical
`
`and spell your last name, please.
`A. My name is Michael Escuti. Last name is
`spelled E-s-c—u—t—i.
`Q. And I take it you've had your deposition
`taken before?
`
`A.
`before.
`
`I've had a deposition taken three times
`
`Q. Even though you're somewhat familiar
`with the process, I just want to go over the
`background rules briefly with you.
`You understand that you've taken an oath
`to tell the truth?
`
`I do understand that.
`A.
`Q. And that's the same oath you would take
`as if you were testifying in a court of law.
`You understand that?
`I do understand that.
`
`A.
`
`\OOONaUl-bUJNh-A
`NNNl—dl—‘l—‘l—‘l—ll—Jl—ll—‘HHNHOWOOflaUI-hUJNl-‘O
`
`
`
`
`
`8 issues are and things like that.
`9
`Q. And other than attorneys for the patent
`10 owner, did you communicate with anyone regarding
`11 the subject of your assignment at any time?
`12
`A.
`I have not communicated with anyone
`13 aside from the attorney team on this matter.
`14
`Q. And what did you review to formulate
`15 your opinion for this matter?
`16
`A. The complete list, I think, is listed in
`17 my declaration of what I've reviewed, but it began
`If at any time you do not understand one
`Q.
`18 with the '413 patent. I also reviewed the
`of my questions, please let me know and I'll be
`19 petition, the Board's decision, the request for
`happy to rephrase it. The court reporter sitting
`20 rehearing and the decision ofthe request for
`21 rehearing.
`to your right is taking down your testimony today
`and at the conclusion of your deposition, you'll
`22
`Of course, I also reviewed the prior
`23 receive a booklet of your testimony and have the
`23 art, in particular Sukegawa and the patent
`24 Nakarnoto and others in connection with the '413
`24 opportunity to make changes and corrections to
`25 litigation.
`25 your testimony. But please be advised, if you do
`Page 7
`Page 9
`
`1 make any changes or corrections, we can comment on
`2 your credibility as it pertains to those changes
`3 or corrections.
`
`4
`5
`
`Do you understand that?
`I do understand that.
`
`A.
`
`Q. Any reason why your deposition cannot
`6
`7 proceed today?
`8
`A. There is no reason.
`
`Q. When were you first contacted in this
`9
`10 matter?
`
`A. As best as I can recall, it was in
`11
`12 April.
`13
`Q. Of this year?
`14
`A. Of this year, yeah.
`15
`Q. And what were you asked to do?
`16
`A At first I was asked to review the '413
`
`17 patent that we're talking about today and join a
`18 meeting with the attorneys here and discuss my
`19 understanding of the patent and the possibility of
`20 my joining the IPR in support of this patent.
`21
`Q. And I take it you then accepted the
`22 assignment?
`23
`A.
`I did.
`
`Q. When you say "and others," what are you
`I
`2 referring to?
`3
`A. Well, Shiba is also another reference
`4 that's -- that I commented on for this patent and,
`5 of course, there's a closely related case that
`6 we'll talk about tomorrow with at least one
`7 additional reference.
`
`Q. Did you review any other prior art in
`8
`9 performing your assignment on the '413 patent?
`10
`A. Certainly not in detail. Aside from
`11 these references, this is What I've examined in
`12 detail.
`
`Q. When you say "not in detail," are there
`13
`14 things that you looked at that you did not look at
`15 in detail, but there are other references that you
`16 looked at?
`
`A. Along the way I certainly searched —-
`17
`18 for example, one of the issues in this case is
`19 contact through an opening andl certainly looked
`20 through other prior art for an understanding of
`21 what other prior art gave about that ~- that
`22 terminology and what an appropriate and reasonable
`23 definition would be.
`
`Q. And what did you understand that your
`24
`25 assigiment was to do in this case or in this
`
`But it turned out that the references we
`24
`
`25 already had were representative oftha -- that
`
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`Page 12
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`Page 10
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`
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`the university research.
`Q. And who were you consulting for?
`A. There were three firms that I can
`
`specifically remember. One was Cabot. Another
`was a small firm that was —— to be honest, I don't
`remember their name. They were a very small firm
`and local to Providence, Rhode Island. And then
`-- then lastly, there was some consulting to 3M,
`of course at St. Paul, Minnesota.
`
`Q. And what type of consulting work were
`you doing for Cabot?
`A. The consulting work was to advise them
`on their questions for using a particular kind of
`material that they had and had certain material
`properties and they were looking for opportunities
`to use it and market it -- well, to use it in an
`
`application that could lead to new business for
`them.
`’
`
`Q. And for the small firm?
`A. For the small firm, it was a -- it was
`actually to help them create a toy. It was quite
`fun. They were -- they were a firm, more of --
`more of a design firm, and they wanted to create
`skateboarding/rollerblading glove that would have
`a circuit inside it so that a child could press a
`
`1 2 3 4 5 6 7 8
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`10
`11
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`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
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`24
`25
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`Page 13
`button and then have it make a noise and make a
`
`song or make various things happen. So it was an
`integrated circuit thatI was designing and
`prototyping for them.
`Q. Do you know if that was ever
`commercialized?
`
`It was a very small outfit and I think
`A.
`that project was -- came to a prototype and then
`didn't find any future fimding.
`Q. And then what were you doing for 3M?
`A. For 3M, my principal role was to lead
`short courses, a series of short courses that was
`on the subject of LCDs and displays more
`generally. It went beyond LCDs.
`So this was in conjunction with my Ph.D.
`advisor where we were both creating the short
`course and presenting it to them in their facility
`to technical folks of all kinds.
`
`OO\IO\U14>UJNH
`NNNHHHHHHHHt—tt—aNHOWOONQUI-P-UJNr—IOO
`
`
`
`1 was evidence enough for my position on that, so
`2 that I didn't turn to those.
`I didn't need to
`
`3 turn to those because they Were cumulative.
`4
`Q. Do you recall what you reviewed in that
`regard, the ones that you didn't need to turn to?
`A.
`I don't recall.
`
`00\IO\UI
`
`Q. Did you review any other patents that
`are owned by SEL other than the '204 and the '413?
`A.
`In this matter, I did not review any
`9
`10 other patents. Of course, I can't recall if
`11 sometime in my career I've reviewed patents that
`12 are assigned to SEL. I don't recall.
`13
`Q. But doing this assignment, you don't
`14 remember reviewing any other SEL patents?
`15
`A. That's correct. In this assignment, I
`16 didn't review any other patents owned by this
`17 patent owner.
`18
`Q. Are you familiar with any other patents
`19 owned by SEL, other than '204 and '413, as you sit
`20 here today?
`21
`A.
`I'm not familiar with any other patents
`22 that are involved in any litigation that SEL ~—
`23 SEL has.
`
`Q. Well, apart from litigation, are you
`24
`25 aware of any at all?
`
`Page 11
`
`A. No, I'm not.
`
`Q. Let's talk a little bit about your
`educational background.
`If you can tell me where you graduated
`from college and what year?
`A.
`I graduated with my Bachelor's of
`Science in electrical and computer engineering in
`1997 at Drexel University. I then went on to
`graduate school and earned two degrees, first a
`Master's and then a Ph.D., where the final year
`for the Ph.D. was 2002 and that was at Brown
`
`University, also in electrical engineering.
`Q. And the Master's, is that also at Brown?
`A.
`It was.
`
`Q. And do you remember what year that was?
`A.
`It‘s in my CV specifically, of course,
`but as best as I can remember, it was 1999.
`
`Q. And were you working in industry at all
`from 1997 to 2002?
`
`\OOOflmLh-P-UJNH
`\lONUI-PWNr—‘O
`HHl—lHl—IHD—lk—l
`NNNr—ai—INHowoc
`
`
`
`
`Q. And when did you first start either
`studying or working with LCDs?
`I consulted with industry as a
`‘ A.
`A.
`I first became aware of the principles
`consultant, but I was not employed or working.
`of LCDs and TFTs during my Bachelor's degree
`during that time because I was a graduate student.
`23
`training, so that would be before 1997. During
`23 So I had consulting outside of my academic
`24
`graduate school is when I first began building
`24 responsibilities and, in addition, I was supported
`25
` 25 in part by industrial funding in the context of
`them and making them myself in the lab, and that—J
`
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`Page 14
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`1 has continued in my research to today.
`2
`Q. So during your graduate studies, what
`3 kind of LCDs were you building or making?
`4
`A. We constructed most kinds. We had a lab
`5 facility where I and my colleagues would prototype
`6 the —- sometimes the whole display system, but
`7 typically, it would be —— we'd make a single pixel
`8 or a small number of pixels.
`9
`And so we'd make it from the glass to
`10 the substrates and to the patterning of electrodes
`11 and in some occasions with TFTs and -- and the
`
`12 kinds of LCDs would vary quite a lot because it
`13 was research, after all, so it wasn‘t simply the
`14 standard modes, the twisted nematic and the other
`15 modes, but it was -- it delved into other modes
`16 that would be more energy efficient, for example,
`17 and that was certainly a hot topic at the time.
`18
`Q. When you say occasionally you were
`19 dealing with TFTs, what were you doing when you
`20 were not dealing with TFTs?
`21
`A. Well, we studied, I think, the displays
`22 as a system. We didn't just study one small
`23 aspect or a single aspect of displays during
`24 graduate work. We studied displays as a system
`25 and so that system required multiple aspects. One
`
`Page 16
`1 something. There were many, many things that we
`2 looked at in the optical side.
`3
`Q. And that's what your dissertation was,
`4 was on the optical side?
`5
`A. My dissertation had an emphasis on
`6 optical physics, but it also involved display
`7 systems, and in one case the in—plane switching
`8 mode, which definitely involved the electronics
`9 because key to that is a set of electrodes and
`10 pixel control system that is different than
`11 standard, and I had to make that as well.
`
`Q. Now, when you obtained your Ph.D., you
`12
`13 then —— it looks like you did a post-doc in the
`14 Netherlands, is that right?
`15
`A.
`I did, following my Ph.D., spend two
`16 years as a post—doc in the Netherlands, in
`17 Eindhoven specifically.
`18
`Q. And what were you doing there?
`19
`A. While I was there, I was physically at
`20 the technical university that's in Eindhoven. But
`21 in their system, there's a blending that's quite
`22 great. I think it's quite good for students where
`23 industry serves roles within the university in a
`24 very intimate way.
`25
`So while I was there, one of my
`
`
`
`
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`Page 15
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`Page 17
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`1 of them is, of course, the optics of an LCD. The
`2 other aspect has to do with the electronic control
`
`1 supervisors was a very senior person in Philips
`2 Research labs, which is also located there. So
`
`3 ofthe LCD pixels.
`3 my projects were influenced by both the university
`4
`And then there's —- there's sort ofthe
`4 side and the industry side that was there. So my
`5 information that drives those circuits or that
`5 work specifically focused on LCDs and ~— among
`6 goes into those circuits as well. So we‘ve -- we
`6 other things.
`7 studied all of that and my emphasis was on the
`7
`Q. What were you doing with LCDs?
`8 first two things I just said, the optics and the
`8
`A. Well, one of the things we were looking
`9 electronics.
`9 at there -- and as I recall, there's a publication
`10
`Q. What were you doing with the optics?
`10 on this -- has to do with backlights and efficient
`11
`A. Could you say specifically when?
`11 backlighting for LCDs.
`12
`Q. During your graduate studies, what were
`12
`Q. Anything else that you did in those two
`13 you —- what were you studying or experimenting
`13 years with LCDs?
`14 with in terms of the optics?
`14
`A. Yes, yes.
`15
`A.
`I studied many things. So, for example,
`15
`Q. What's that?
`16 my dissertation was about -- I can't remember
`16
`A. There were -- there were many other
`17 precisely the title. That's also in my CV, but it
`17 things that I've done during that time. It's —-
`18 was about novel LCDs and photonic switches. And
`18 I'm certainly not going to remember all of it. It
`19 so we looked at birefringent layers and the effect
`19 was a dynamic research environment where we could
`20 of controlling polarization.
`20 explore different things.
`21
`We looked at holographic means to create
`21
`So another thing that we studied was
`22 displays. We studied displays that would be
`22 organic light-emitting diodes and some of the
`23 bistable, so that you -- you didn't have to put
`23 material properties that are involved in the
`24 voltage on them all the time, but you could -~ you
`24 semiconducting materials.
`L25 could just activate them when you needed to change 4 25
`So we looked for ways to optimize them
`
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`1 both fiom the chemistry —— I'm not a chemist, but
`2 I was working with chemical engineers. We also
`3 looked for ways, using other principals, to
`4 control the molecules themselves to improve
`5 performance, whether it was light extraction or
`6 mobility enhancement. There were many things that
`
`Q. Anything else that you can recall in
`8
`9 that two-year period?
`10
`A. Right now I can't specifically remember
`11 anything else.
`12
`Q. All right. And then you became an
`13 assistant professor at NC State?
`14
`A. Following my post—doc, I began my
`15 position at NC State in 2004 as an assistant
`16 professor.
`17
`Q. And what types of courses were you
`18 teaching in that or have you taught in that
`I
`19 six—year period?
`20
`A. The six—year periodbeing when I was an
`21 assistant professor?
`22
`Q. Yes.
`23
`A. Well, in my role as assistant professor,
`24 of course I both teach and research and the
`
`1 well, my focus has always been on the interaction
`2 of light and matter and so it's this field of
`3 optoelectronics, sometimes it's called photonics.
`4 And many of the applications that I look at
`5 involve displays, not exclusively, but involve
`6 displays, but also telecom, energy harvesting
`7 sensors, camera systems, optical recording.
`8
`And so my interest is to study and
`9 innovate in the material side and the architecture
`10 of a system for a particular application. So one
`11 example of that is related to LCDs that has
`12 continued even now is the design of projectors and
`13 LC —- direct-view LCDs which have improved energy
`14 efficiency compared to our standard technology.
`15
`Q. Anything else you were researching in
`16 that time period?
`17
`A. Yes. During that time period, I advised
`18 I think five Ph.D. students, four or five. We
`19 studied topics that relate to nonmechanical beam
`20 steering. We studied topics that have to do with
`21 optical filtering. We studied topics that have to
`22 do with optofluidics, which -- which is this field
`23 where particles or cells are within a fluid and
`24 there are optical means to control them, to move
`
`
`
` 7 we were looking at.
`
`25 teaching involved ~~ one course that I taught was
`Page 19
`
`{25 them, to grab them, to analyze them. So that was
`Page 21
`
`1 still another —- another side.
`the —— was an introductory circuits course that
`1
`2
`And in my research, we also investigated
`2 involves a lab as well and it's required by all
`3 optical TF —- I’m sorry —— organic TFTs and
`3 our students in the department to take. So that's
`4 enhancements that we can offer using the other
`4 "Circuits, Signals and Systems."
`5 principles that we have for improved performance.
`5
`Another course that I taught during that
`6
`Q. Anything else that you can recall in
`6 time, actually created, was a course on LCDs and
`7 that six—year time period, from 2004 to 2010, in
`7 organic electronics, and that course in particular
`8 terms of research?
`8 had support from the National Science Foundation
`9
`A. At the moment, I can‘t recall anything
`9 for me to develop the lab portion of that course.
`10 further.
`10
`And so in that course, students -- that
`11
`Q. All right. Then in 2010 you became an
`11 I created with one of my graduate students, we
`12 associate professor at NC State?
`12 would guide our students to actually make the
`13
`A.
`I did.
`13 elements we were studying. So they made a simple
`14
`Q. And did your courses change or did they
`14 LCD, they made an organic TFT, they made an
`15 stay the same?
`15 organic solar cell and an organic LED, and then
`I
`16
`A. My courses around that time changed.
`16 they tested it and evaluated it. So that's
`17 'began teaching a new course on electromagnetics
`17 another course that I taught.
`18 and it's also required by all students in my
`18
`There's a third course I taught that -—
`19 department. It's an undergraduate course and that
`19 I think it's at least approximately titled
`20 includes transmission lines and circuits inside
`20 "Introduction to Photonics and Optical
`21 it, as well as the more general principles of
`21 Communications."
`22 classical electromagnetics.
`22
`Q. Okay. And in terms of research, what
`23
`Q. Any other courses that changed?
`23 were you doing while you were an assistant
`24
`A. Yes, there's one other one which began
`24 professor?
`
`25
`A. As an assistant professor, I studied --
`25 this semester and it's the first time I‘m teaching
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`it. It's also the first time it‘s being taught
`1
`2 anywhere in the university. And this course is
`3 "Introduction to Nanoscience and Nanotechnology."
`4
`So this has an emphasis on, of course,
`nanotechnology and its applications in -- across
`many fields, including nanoelectronics,
`nanomaterials, biotechnology, among many others.
`Q. And what about your research? Is there
`anything different since 2010 in your research?
`A.
`In my academic research, I think largely
`11 I've continued the general directions that I laid
`12 out. I certainly have a different emphasis now.
`13 Some are more -- I'm spending much more time on
`14 than others, but it's largely in the same
`15 directions.
`
`10
`
`Q. What are you spending much more time on?
`16
`A. Well, the two project directions that
`17
`18 are more and more important, one of them is
`19 displays and display systems where we have
`20 technologies that solve energy problems or
`21 complexity problems within display systems. So
`22 that's one.
`23
`Another is in telecom. So we are able
`
`24 to make elements that have great benefits to the
`
`25 telecom industry. So we have an emphasis on
`
`Page 23
`
`studying that and providing prototypes for
`industry. It‘s industry-sponsored, in fact. Both
`of these are industry—sponsored.
`Q. When you say "telecom," can you be a
`little more specific?
`A. Well, this may not be as specific as
`you're asking, but it’s hardware that would
`support an optical fiber system, for example,
`supporting the internet.
`A third project that's taking much of
`our attention is in the direction of making
`optical films for astronomers and so there's
`several astronomers that we've been working for
`that study -— they're called exoplanets and solar
`systems that have planets around them and so we,
`in partnership with them, create elements that
`help them do that.
`Q. Apart from ImagineOptix, which we‘ll get
`into in a moment, have you done -- and apart from
`what you've just discussed -- have you done any
`other work for industry while you've been at
`NC State?
`
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`1 university, through sponsored programs that
`2 industry would pay the university to sponsor
`3 research in my lab.
`4
`Q. And that's the kind of research you were
`5 just discussing?
`6
`A. Yes.
`
`Q. And ImagineOptix, how did that get
`7
`8 started?
`
`ImagineOptix started in —— actually,
`A.
`9
`10 right as I joined NC State, I encountered two of
`11 my co-founders. They are father and son, so they
`12 have the same last name and confusingly, they have
`13 the same first name, but they have different
`14 middle names.
`
`So I met them and we founded the company
`15
`16 with -— where it was clear that they saw an
`17 opportunity to build pico projectors, small
`18 projectors that could be integrated into other
`19 devices including cell phones, but also other
`20 things like camcorders and it —— as we -~ as we
`21 talked, we realized that my technology that I was
`22 already studying for my post-doc and had plans to
`23 pursue at NC State, would be a very good solution
`24 for that. So we joined together.
`I became, you lmow, a majority
`25
`Page 25
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`OO\]O\M4>U)NH
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`NNNNNNy—Ir—IHb—Ay—IHHHHHUl-hUJNt—‘OWOOQO‘xUt-PUJNt—‘OC
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`
`
`shareholder ofthe company and we then proceeded
`from there. And that's really where it started.
`It continued then to seek filnding from -- from any
`means that we could to establish the company and
`pay for the intellectual property costs, for
`example.
`Q. And when you said your technology would
`be a great fit for what they were doing, what were
`you referring to in terms ofyour technology?
`A. Well, the technology that we had been
`studying and continue to study today, offers a
`dramatic improvement to the energy efficiency of a
`display system when configured in the ways that we
`were pursuing. And so that means that, for
`example, your cell phone display or your projector
`could have twice the efficiency that it would
`V
`otherwise without our technology using standard
`methods and, of course, that means that your cell
`phone would last twice as long roughly, or a
`projector could be twice as bright, still using
`all the same power or other technology.
`So that's the basis of the technology,
`I think it's the case that all of my
`A.
`but that can be applied in many ways and there
`work while I've been at NC State with industry,
`were at least two ways that we applied it. One
`outside of ImagineOptix, has been through the
`
`way was to integrate it into the liquid crystal
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`12 both polarizations of the light at the same time,
`13 whereas almost all LCD systems use only one
`14 polarization at a time. Typically, that's one of
`15 the linear polarizations.
`16
`In our case, we're making elements that
`17 handle and manipulate both at the same time. So
`18 because we're handling both, we can send both
`19 through the system. We can use unpolarized light
`-- the technology went into the optical
`Q.
`19
`20
`20 rather than polarized light, and as you may know,
`layer. So I'm just trying to understand, was the
`21
`21 most light sources, LEDs or fluorescent lights,
`technology —~ is that what was special about the
`22
`22 outside lighting is unpolarized. And so to be
`technology was the changes in the optical layer or
`23
`23 used in an LCD, it first has to be formatted for
`was it something else?
`24
`24 use in the LCD and-that process generally cuts out
`A. The technology's value occurs in the
`25
`
`25 half the light as absorption, as loss.
`optical layer and so this improvement in energy
`Page 29
`Page 27
`
`the simple reason was that we found better ways to
`l
`2 do it that would not displace the current
`3 technology quite as much. So it would compliment
`4 it rather than replace it.
`5
`Q. And can you give me a general
`6 description of how this technology, this new
`7 technology that you're working on now would
`8 compliment and not replace?
`9
`A. The energy —- the improvement in energy
`10 efficiency that I've been referring to this whole
`11 time occurs because the elements we make handle
`
`Q. So is this a technology that's focused
`on the optical layer?
`A.
`I don‘t think that's a fair
`
`characterization. As we just said, it's a
`technology tha -- where the benefit occurs in the
`optical layer, but it has consequences in the
`electronic layer as well.
`Q. Let me just go ahead and hand you your
`declaration, which I think also has your CV
`attached, which is Exhibit 2012.
`(Document marked previously as Exhibit
`Number 2012 was presented.)
`BY MR. GIBSON:
`
`Q. Do you recognize that as your
`declaration and your CV at the end? And I believe
`your signature‘s on page 101.
`Sorry, your signature's not on page 101.
`It's earlier than that.
`
`A. My signature's on page 3. It appears to
`be my declaration and its appendices.
`Q. And Appendix B is you -— that's your
`curriculum vitae?
`
`\OWVQM-bWNb—l
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`1
`
`layer along with micro-displays and direct-view
`screens.
`
`ooflam-h-UJN
`
`So in that case, we were designing
`systems and building prototyping systems that
`involved the TFT plane and our technology which
`directly applies in the optical layers and in a
`whole system, you know, with control drivers and
`electronics and software that would do that. So
`
`ll
`
`my company was pursuing several projects or did
`pursue several projects and prototypes that lead
`to that kind of thing.
`Q.
`Is the technology focused on the optical
`12
`13 layer?
`14
`A. Well, the technology involves
`15 electronics. It's —— so I'm not sure -— can you
`16 rephrase the question?
`17
`Q. You mentioned ~-
`18
`A.
`It's not —-
`
`MNONM-SkWNv—I
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`
`P—‘P—‘D—‘v—ll—ll—lHl—Il—d
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`19
`20
`
`efficiency is related to the optics of what's
`going on in the display, but the technology
`depends on the electronics that support it. So
`it's not apart from the electronics. It's an
`'
`optoelectronic technology. So ~-
`, Q.
`Is that described in -- I didn't mean to
`cut you off. Go ahead.
`A.
`I‘m sorry. Well, just as an example,
`because we're changing the liquid crystal layer,
`that necessarily in our case led to requirement
`changes in the TFT layer. For example, we
`required different voltages than were standard and
`so we had to build backplanes and work with
`systems that had that difference in particular.
`Q. Anything else in change in the TFT
`layer?
`I think many things changed in the TFT
`A.
`layer. It had to be completely redesigned for our
`technology and that's what our team did.
`Q. And is this -- are these products --
`have they been commercialized at all or —-
`A. That set of projects led to prototypes
`22
`23 and it led to new ideas that we have continued
`
`21
`
`A. That's my CV as of the date that's on
`it, which of course was April.
`24 with. So that particular approach to implementing
`25
`Q. Are there updates since then?
`25 the technology we have not pursued recently and
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`1 diffiactive optical element that has unique
`2 properties and that's what's being illustrated
`3 here. Do you want me to go into the technical
`4 properties of polarization gradings?
`5
`Q. No.
`6
`Is this some sort of a beam splitter?
`7 Is that an accurate way to call this?
`8
`A. There are many ways to call this
`9 element. One is as a hologram or a grading. If
`10 you use it as a beam splitter, that's one thing
`11 you could do. You could also use it in an LCD, as
`12 we talked about earlier, as a way to switch the
`13 pixel or to switch what happens to the light
`I do. If it's the one I'm thinking of,
`A.
`14
`14 through that pixel. It's not a simple beam
`15 splitter.
`15 it's —- as you can imagine, there are many
`16
`manuscripts that are in play at any one time. So
`16
`Q. So is this the technology you were
`17
`I think this particular manuscript had to do with
`17 describing earlier that you're currently working
`18
`what are called vortex beams and these are optical
`18 on at ImagineOptix?
`19
`19
`A. This is part of the technology. There
`beams that have additional quantum properties that
`20
`can be used both in communication systems, in
`20 are many other pieces of the technology.
`21
`21
`Q. Does this use an organic material?
`sensing, and also in the optofluidics context that
`22
`I mentioned earlier.
`22 ' A.
`It uses both. The inorganic substrate
`23
`23 is usually some kind of glass. It could also be
`MR. GIBSON: And why don't we go ahead
`24
`and mark this as 1006?
`24 metal, aluminum. It could be ITO. It could be ~-
`25
`25 could be silicon in one of my projects and -- but
`THE WITNESS: Thank you.
`Page 31
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`OO\IONUI
`
`A. There are minor updates, at least in my
`1
`2 opinion, to the list of publications and to the
`3 issued patents s