Massachusetts Institute of Technology
`Ex. 2001
`Part 1 of 4
`
`
`
`

`
`IJS00632290lCl
`
`(12) EX PARTE REEXAMINATION CERTIFICATE (9051st)
`United States Patent
`Bawendi et al.
`
`(10) Number:
`US 6,322,901 C1
`*Jun. 5, 2012
`(45) Certificate Issued:
`
`(54) HIGHLY LUNIINESCENT COLOR-
`SELECTIVE NAN O-CRYSTALLINE
`NIATERIALS
`
`(51)
`
`Int. Cl.
`HIIIL 33/00
`
`(2006.01)
`
`(75)
`
`Inventors: Moungi Bawendi, Boston, MA (US);
`Klavs F. Jensen, Lexington, MA (US);
`Bashir 0. Dabbousi, Dhahran (SA);
`Xavier Rodriguez-Viejo, Sant Cugat del
`Valles (ES); Frederic Victor Mikulec,
`Somerville, MA (US)
`
`Assignee: Massachusetts Institute of Technology.
`Cambridge, MA (US)
`
`Notice:
`
`This patent issued on a continued pros-
`ecution application filed under 37 CFR
`l.53(d), and is subject to the twenty year
`patent
`term provisions of 35 U.S.C.
`l54(a)(2).
`
`Reexamination Request:
`No. 90/010,736, Nov. 11, 2009
`
`Reexamination Certificate for:
`Patent No.:
`6,322,901
`Issued:
`Nov. 27, 2001
`Appl. No.:
`08/969,302
`Filed:
`Nov. 13, 1997
`
`(52) U.S. Cl.
`
`...................... .. 428/548; 428/570; 428/551;
`428/403; 257/E33005; 257/E33004
`(58) Field of Classification Search ...................... .. None
`See application file for complete search history.
`References Cited
`(5 6)
`To View the complete listing of prior art documents cited
`during the proceeding for Reexamination Control Number
`90/010,736., please refer to the USPTO’s public Patent
`Application information Retrieval (PAlR) system under the
`Display References tab.
`Primary Exami1zer—Stcphcn J Stein
`(57)
`ABSTRACT
`
`A coated nanocrystal capable of light emission includes a
`substantially monodisperse nanoparticle selected from the
`group consisting of CdX, where x=S, Se, Te and an over-
`coating of ZnY, Where Y=S, Se, uniformly deposited
`thereon, said coated nanoparticle characterized in that when
`irradiated the particles exhibit photoluminescence in a nar-
`row spcctral range of no greater than about 60 nm, and most
`preferably 40 nm, at full width half max (FWHM). The par-
`ticle size of the iianocrystallite core is in the range of about
`20 Ato about 125 A, with a deviation of less than 10% in the
`core. The coated nanocrystal exhibits photoluminescence
`having quantum yields of greater than 30%.
`
`.
`
`. .
`
`. . .
`
`.
`
`.
`
`— (cdse) zns
`
`INTENSHY
`
`(ARBITRARY UNITS)
`
`500
`
`550
`
`600
`
`WAVELENGTH (nm)
`
`MIT901_2001-0001
`
`

`
`US 6,322,901 Cl
`
`1
`EX PARTE
`REEXAMINATION CERTIFICATE
`ISSUED UNDER 35 U.S.C. 307
`THE PATENT IS HEREBY AMENDED AS
`INDICATED BELOW.
`
`lVIatter enclosed i11 heavy brackets [ ] appeared in the
`patent, but has been deleted and is no longer a part of the
`patent; matter printed in italics indicates additions made
`to the patent.
`
`AS A RESULT OF REEXAMINAIION, Il HAS B
`DETERMINED TI IAT:
`
`3N
`
`The patentability of claims 1-31 is confirmed.
`
`New claims 32-50 are added and determined to be patent-
`able.
`
`32. A coated nanocrystal capable oflight emission, com-
`prising:
`a core comprising a first semiconductor material, said
`core being a member ofa monodisperse particle popu-
`lation; and
`an overcoating uniformly deposited on the core compris-
`ing a second semiconductor material, wherein thefirst
`semiconductor material and the second semiconductor
`material are the same or difierent. and wherein the
`monodisperse particle population is characterized in
`that when irradiated the population emits light in a
`spectral range of no greater than about 60 nm full
`width at half (F and the coated nanocrystal
`emits light in a narrow spectral range selected from
`blue light, green light, yellow light, orange light, or red
`light.
`33. The coated nanocrystal ofclaim 32, wherein the cores
`ofthe population ofnanocrystals having no greater than 5%
`rms deviation.
`34. The coated nanocrystal of claim 32,
`nanocrystal emits blue liglzt.
`35. The coated nanocrystal of claim 32,
`nanocrystal emits green light.
`36. The coated nanocrystal of claim 32,
`nanocrystal emits yellow light.
`37. The coated nanocrystal of claim 32,
`nanocrystal emits orange light.
`
`wherein the
`
`wherein the
`
`wherein the
`
`wherein the
`
`5
`
`10
`
`V
`
`2
`38. The coated nanocrystal of claim 32, wherein the
`nanocrystal emits or red light.
`39. The coated nanocrystal of claim 32, wherein the uni-
`form overcoating is a crystalline overcoating.
`40. The coated nanocrystal of claim 32, wherein the
`coated nanocrystal exhibits photoluminescence having a
`quantum yied ofgreater than 30%.
`41. The coated nanocrystal of claim 1, wherein the uni-
`form overcoating is a crystalline overcoating.
`42. The coated nanocrystal of claim 10, wherein the uni-
`form overcoating is a crystalline overcoating.
`43. The coated nanocrystal ofclaim I, wherein the mono-
`disperse population emits light in a spectral range of no
`greater than about 37 nmfitll width at half max (FWHA/I)
`when irradiated.
`44. A coated nanocrystal capable of light emission, com-
`prising:
`a core comprising a first semiconductor material, said
`core being a member ofa monodisperse particle popu-
`lation,‘ and
`an overcoating uny’ormly deposited on the core compris-
`ing a second semiconductor material, wherein thefirst
`semiconductor material and the second semiconductor
`material are the same or difirerent, and wherein the
`monodisperse particle population is characterized in
`that when irradiated the population emits light in a
`spectral range of no greater than about 60 nm full
`width at halfmax (FWHM), wherein the coated nanoc-
`rystal exhibits photoluminescence having a quantum
`yield ofgreater than 30% and the coated nanocrystal
`emits light in a narrow spectral range selected from
`blue light, green light, yellow light, orange light, or red
`light.
`45. The coated nanocrystal ofclaim 44, wherein the cores
`ofthe population ofnanocrystals having no greater than 5%
`rms deviation.
`441 wherein the
`46. The coated nanocrystal of claim
`nanocrystal emits blue light.
`47. The coated nanocrystal of claim
`nanocrystal emits green light.
`48. The coated nanocrystal of claim
`nanocrystal emits yellow light.
`49. The coated nanocrystal of claim
`nanocrystal emits orange light.
`50. The coated nanocrystal of claim
`nanocrystal emits or red light.
`*
`=l<
`*
`
`wherein the
`
`44,
`441 wherein the
`
`44, wherein the
`441 wherein the
`
`*
`
`=l<
`
`MIT901_2001-0002
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.0. Box_I4S0
`Alexandria. Virginia 223134450
`www.uspt.o.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO‘
`
`CONFIRMATION NO.
`
`90/0I0,736
`
`I 1/] H2009
`
`6322901
`
`038—O003RXI
`
`2085
`
`STEPTOE & JOHNSON LLP
`1330 CONNECTICUT AVENUE, N.W.
`WASHINGTON, Dc 20036
`
`‘
`
`‘
`
`DATE MAILED: 05/09/2012
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO-90C (Rev. 10/03)
`
`MIT901_2001-0003
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Commissioner for Patents
`United States Patent am Trademark Omce
`P.O.8ox1as0
`Alexandria, VA 2231 3-1450
`vwiwvspaogou
`
`DO NOT USE IN PALM PRINTER
`
`(THIRD PAR1'Y REOUESTER‘S CORRESPONDENCEADDRESS)
`
`Russell T. Wong
`
`Wong, Cabello. Lutsch. Rutherford & Bruoculeri
`
`20333 State Highway 249, 6TH Floor
`
`Houston, TX 77070
`
`EXPARTE REEXAMINATION COMMUNICATION TRANSMITTAL FORM
`
`REEXAMINATION CONTROL NO. 90/010 736.
`
`PATENT NO. 6322901.
`
`ART UNIT 3991.
`
`Enclosed is a copy of the latest communication from the United States Patent and Trademark
`Office in the above identified ex parte reexamination proceeding (37 CFR 1.550(f)).
`
`Where this copy is supplied after the reply by requester, 37 CFR 1.535, or the time for filing a
`reply has passed, no submission on behalf of the ex parte reexamination requester will be
`acknowledged or considered (37 CFR 1.550(g)).
`
`PTOL-465 (Rev.07-04)
`
`MIT901_2001-0004
`
`

`
`UNITED STATES DEPARTMENT OF CONINIERCE
`U.S. Patent and Trademark Office
`Addess: COMMISSIONER FOR PATENTS
`P.O. Box1450
`Alexandria, Virginia 22313-1450
`
`APPLICATION NO.I
`CONTROL N0.
`
`FILING DATE
`
`l 1 November, 2009
`
`FIRST NAMED INVENTORI
`PATENT IN REEXAMINATION
`6322901
`
`ATTORNEY DOCKET NO.
`
`038-0O03RXl
`
`N L
`STEPTOE 8- .10
`LP
`HNSO
`1330 CONNECTICUT AVENUE, N.W.
`WASHINGTON, DC 20036
`
`STEPHEN STEIN
`
`ART UNIT
`
`PAPER
`
`3991
`
`20120509
`
`DATE MAILED:
`
`Please find below andlor attached an Office communication concerning this application or
`
`proceeding.
`
`This communication is to acknowledge receipt of the infonnation disclosure statement submitted by Patent Owner on December 6,
`201 1 after the mailing the ofNIRC. The IDS has not been considered since it was submitted afier the mailing ofthe Notice of Intent
`to Issue an Ex Pane Reexamination (N IRC), but was not accompanied by a petition under 37 C.F.R. 1.182 (See MPEP 2287.01 and
`2256). Accordingly, the IDS has had line crossed through all citations to indicate that the references have not been considered.
`
`Commissioner for Patents
`
`/Carlos Lopez!
`Patnet Reexamination Specalist
`Art Unit
`
`PTO-90C (Rev.O4-03)
`
`A .
`S ervisory Paten Reexamination Sp lallst
`/N°"°a T°"e$/
`Patent Reexamination Specialigt
`Gnu -- An unit 3991
`Art Unit: 3991
`
`MIT901_2001-0005
`
`

`
`H:
`
`Sheet _i__ of _1_
`
`Sulpstitute Form PT01449
`~ °d*"°°>
`
`\\\\|li\\|\\iiiliiiiiiiiillillliliiliii(a12I06/10
`
`lilli
`
`‘Attom'e}s Docket No.
`U.S. Department oi Commerce
`Patent and Trademark We 14952 0272 R2lEX
`
`Control No.
`90/010 736
`
`information Disclosure Statement
`
`by Applicant
`(Use several sheets it necessary)
`
`7 cm i__- L,
`
`Mount G. Bawendi et 211.
`F"-mg Dam
`November 11, 2009
`
`Group M Unit
`3991
`
`Is.
`Weiss et al. liiiiillll
`illl
`
`— U.S. Patent Documents
`Examiner
`Desig.
`_A
`Initial
`ID
`
`Patent Number
`
`issue Date
`
`Patentee
`
`InU)
`Cla
`
`Filing Date
`If A roriate
`
`iiIll Bawendi et a1.
`
`Yang et al.
`
`_Bawendi et ai.
`
`06,609
`
`0>i
`
`8/22/2000
`i0l2 3/2001
`
`l 1/27/200i
`
`7/23/2002
`
`- Iications
`
`Translation
`‘(Ian‘P
`
`Forei » n Patent Do ments or Published Forein 'atent -
`Desig.
`Document
`‘ blication
`Country or
`ID
`Num her
`I ate
`Patent Ofii r -
`BA
`00/27365
`
`Class
`
`o
`
`BB
`
`0 990 903
`
`4/4/2000
`
`other Documents include Authoe Date, and Place of Publication
`Desig.
`7
`ID
`2_ASHWOOD et ai., “Synthesis and -
`tihyp ensive Activity of 4-(Substitutcd-carbonyiamino)—2H- i-
`benz -
`rains" J. Med. Chcm., 3
`667-2672 \ 990
`CB stals: Intermittent Behavior and Use as Fluorescent
`Bioioicai Probes” Ph.D. d' ertation. Universi
`- Caiifomia, December [7, I998
`rescent Biological Labels” Science, 28122013-
`CC
`2016 (Setember 25, I ' 8)
`0
`CD tor Colloids" Ioumal ofChemical Education,
`70:A7-A10 Janu ',
`I993
`C
`LEFF,, “Color ding Quantum Dots Debut with Promising
`E
`Bioworld T - , , coied front the intemet as O . 1-2 Setembe
`5, I998
`.. “Novel Flow Cytometxy Compensation Standards:
`CF
`'
`:
`bi
`” C ome , 33:244-248 1998)
`
`C-2
`
`A
`
`'
`
`Examiner
`initial
`
`Examiner
`Initial
`
`‘OO
`
`v an in documents
`
`Patent No. 6,86i,i55 (Reexamination Control No. 95/00l,268) -
`
`4, 2010
`- c man in documents and Office Action dated Febru
`lnvitrogen Corporation, Quantum Dot Corporation, Molecular Probes, Inc a - Regents of the
`University of Caiifomia v. Evident Technologies. Inc., and Does i through 5,
`2 elusive, Civil Action
`6:08-cv—l63-LD - Defendants‘ Invalidit Contentions
`
`F Iner Signature
`
`Date Considered
`
`initials citation considered. Draw line through citation it not in contormance and not considered. include copy of this term with
`ExAMlNER:
`next communication to a - licant.
`Substitute Disclosure Form (PTO-1449)
`
`MIT901_2001-0006
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Oflice
`Address; COMMISSIONER FOR PATENTS
`PO. Box I450
`Alexandria, Virginia 223I3-I450
`WWW.|1SplD.g0V
`
`APPLICATION NO.
`
`90/010,736
`
`FILING DATE
`
`I 1/] I/2009
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`632290l
`
`038—0003RXI
`
`2085
`
`,
`
`27890
`
`7590
`
`12/20/2010
`
`STEPTOE & JOHNSON LLP
`1330 CONNECTICUT AVENUE, N.W.
`WASHINGTON, DC 20036
`
`'
`
`EXAMINER
`
`"“’E*‘””’“3E“
`
`DATE MAILED: 12/20/2010
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO—90C (Rev. I0/O3)
`
`MIT901_2001-0007
`
`

`
`Commissioner for Patents
`United States Patent and Trademark Office
`F'.O. BOX‘l450
`Alexandria, VA 22313-1450
`uwwvuspmgov
`
`DO NOT USE IN PALM PRINTER
`
`(THIRD PARTY REQUESTER'S CORRESPONDENCE ADDRESS)
`
`MNLEQ
`
`Russell T. Wong
`
`Wong, Cabello, Lutsch, Rutherford & Brucculeri
`
`DEC 20 2010 .
`
`20333 State Highway 249, 6TH Floor
`
`CENTRAL REEXAMINATION UNIT
`
`Houston, TX 77070
`
`EX PARTE REEXAMINATION COMMUNICATION TRANSMITTAL FORM
`
`REEXAMINATION CONTROL NO. 90/010 736.
`
`PATENT NO. 6322901.
`
`ART UNIT 3991.
`
`Enclosed is a copy of the latest communication from the United States Patent and Trademark
`Office in the above identified ex parte reexamination proceeding (37 CFR 1.550(f)).
`
`Where this copy is supplied after the reply by requester, 37 CFR 1.535, or the time for filing a
`reply has passed, no submission on behalf of the ex parte reexamination requester will be
`acknowledged or considered (37 CF R 1.550(g)).
`
`PTOL465 (Rev.07-O4)
`
`MIT901_2001-0008
`
`

`
`UNITED STATES DEPARTMENT OF COMMERCE
`U.S. Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box1@
`Alexandria, Virginia 22313-1450
`
`APPLICATION N0.I
`CONTROL NO.
`90010736
`
`FILING DATE
`
`1 1/1 I/2009
`
`FIRST NAMED INVENTORI
`PATENT IN REEXAMINATION
`6322901
`
`STEPTOE & JOHNSON LLP
`1330 CONNECTICUT AVENUE, N.W.
`WASHINGTON, DC 20036
`
`.
`
`_
`
`0
`
`ATTORNEY DOCKET NO.
`
`038-O0O3RXI
`
`EXAMINER
`
`STEPHEN J- STEIN
`PAPER
`
`ART UNIT
`
`3991
`
`20101213
`
`DATE MAILED:
`
`Please find below andlor attached an Office communication concerning this application or
`proceeding.
`
`Commissioner for Patents
`
`Attached is a copyofthe signed and initialed IDS (PTO—1449 - 29 pages) submitted by Patent Owner on July 19, 2010. This form was
`inadvertently omitted from the Notice oflntent to Issue Ex Parte Reexamination Certificate mailed October 1, 2010
`
`PTO-90C (Rev.04-03)
`
`/Stephen J Stein/
`Examiner, Art Unit 3991
`
`MIT901_2001-0009
`
`

`
`I
`
`.'
`
`-
`
`Sheet
`
`1 of
`
`8
`
`Substitute Form PTO-1449
`(Modified)
`
`U.S. Department 01 Commerce At1orney‘s Docket No.
`Patent and Trademark Office
`149520272 R2/EX
`
`Control No.
`90/010,736
`
`Information Disclosure Statement
`by Applicant
`(Use several sheets 11 necessary)
`
`_
`APP“°3"‘_
`Mount G. Bawendx et al.
`Filing Date
`November 11, 2009
`
`,
`
`A
`Gmup An Unit
`3991
`
`_
`
`_
`
`Class
`
`Subclass
`
`Filing Date
`11A ro riate
`
`Examiner
`Initial
`
`Desig.
`ID
`
`Patent Number
`
`G F0
`
`AA -
`
`5.505.928
`
`5,71 1.803
`
`60/03 1 809
`
`0
`
`U.S. Patent Documents
`
`Issue Date
`04/1996
`
`Patentee
`Alivisatos et al.
`
`01/27/1998
`
`Pehnt et al.
`
`7/29/1996
`
`C.A. Mirkin el
`
`2003/0209105
`
`1 1/1 3/2003
`
`Bawendi et al.
`
`2002/0 1 467 1 4
`
`10/ 10/2002
`
`2005/01 18631
`
`6/2/2005
`
`Lieber et al.
`Bawendi et al.
`
`.
`
`2003/0100130
`
`5/29/2003
`
`Weiss et al.
`
`AH
`
`2003/0099968
`
`5/29/2003
`
`Weiss at al.
`
`Weiss ct al.
`
`2002/0072234
`
`2002/0071952
`
`6/ 13/2002
`
`6/ 13/2002
`
`Bawendi et al.
`
`2001/0040232
`
`I 1/15/2001
`
`Bawendi et al.
`
`2005/0038498
`
`2004/0033345
`
`2001/0023078
`
`2’”’2°°5 --—
`2’‘9’2°°4 “-
`9/20/200l
`Bawendi et al.
`
`2005/0020923
`
`I/27/2005
`
`4,238,195
`
`12/9/1980.
`
`5,427,767
`
`6/27/1995
`
`Frangioni et al.
`
`Boguslaski et
`al.
`
`Kresse et al.
`
`5,448,582
`5,846,517
`
`5,939,021
`
`5,985,173
`6,159,742
`
`6,274,323
`
`6,312,906
`
`6.361.944
`
`9/5 1995 0
`
`Lawandy
`
`12/8/1998.
`8/17/1999
`
`Unger
`
`Hansen et al.
`
`11/16 1999 Gray et 211.
`12/12/2000
`Lieber et al.
`Bruchez et al.
`
`8/14/2001
`
`11/5/200]
`
`3/26/2002
`
`Cass et al.
`
`Mirken et al.
`
`Mirken et al.
`Date Considered
`
`6,417,340
`
`7/9/2002
`
`EIIHHEE
`IIIIIIIIIIIIEHHH
`
`A,
`
`'
`
`AR '
`As
`
`AU
`
`E‘
`
`AZ
`Examiner Signature
`
`12/13/2010
`/Stephen Steinl
`EXAMINER:
`Initials citation considered. Draw line through citation it not in conformance and not considered. Include copy of this fonn with
`next communication to a - 1ican1.
`
`Substitute Disclosure Form (PTO-1449)
`
`MIT901_2001-0010
`
`€
`

`
`Substitute Form PTO-1449
`(Modified)
`
`U.S. Department of Commerce Atlomey's Docket No.
`Patent and Trademam Ofllce
`149520272 R2/EX
`
`Control No.
`90/010,736
`
`Information Disclosure Statement
`by Applicant
`(Use several sheets if necessary)
`
`_
`"PP"°3'“_
`Mounl G. Bawendi et al.
`Filing Date
`November 11, 2009
`
`Group A" Unit
`3991
`
`_
`
`1
`
`Sheet A of
`
`8
`
`U.S. Patent Documents
`
`E“"“””_
`Initial
`ID
`Patent Number
`Issue Date
`Patentee
`/8.3./12/31/2002 Bruchez,_Ir.etal
`Mirken ct al.
`1/14/2003
`6/24/2003
`
`Mirken et al.
`
`Mirken et al.
`
`'
`
`Class
`
`Subclass
`
`IfAroriate
`
`6,682,895
`
`AAG
`AAH
`
`5
`
`#5
`
`E
`
`6,969,76l
`
`11/11/2003
`
`1/13/2004
`1/27/2004
`
`4/13/2004
`5/4/2004
`6/15/2004
`7/6/2004
`7/27/2004 _
`
`11/16/2004
`
`4/12/2005
`
`6/7/2005
`W8/2005
`11/29/200
`
`5
`
`1/10/2006
`1/17/2006
`
`A V
`
`6,984,491
`6.986.989
`12/13/2010‘
`Dale Considered
`/Stephen Stein]
`Examiner Signature
`EXAMINER:
`lnilials citation considered. Draw line through citation it not in conformance and not considered. Include copy of this form with
`next communication to a - licant.
`
`Mirken ct al.
`
`Mirken at al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken et al.
`
`Mirken Ct 31.
`
`Mirken et al.
`
`Mirken ct al.
`
`Mirken et al.
`
`Mirken et al.
`
`Substitute Disclosure Form (P.T0-1449)
`
`MIT901_2001-0011
`
`

`
`Substitute Form PTO-1449
`(Modilied)
`
`.
`
`US. Department of Commerce Attorney's Docket No.
`Patent and Trademark Office
`149520272 R2/EX
`
`Control No.
`90/010,736
`
`Information Disclosure Statement
`by Appllcant
`(Use several sheets if necessary)
`‘
`
`37 Cpg L93 D
`
`_
`._ APP"¢a”‘_
`,- Moun 1 G. Bawendi et al.
`Filing Data
`November 11,
`
`Group An Unit
`
`U.S. Patent Documents
`
`Sheet
`
`3 of
`
`8
`
`ID
`
`AA
`
`Issue Date
`Patent Number
`Initial
`3/29/2006
`7,098,320
`/S.S./
`1/30/2007
`7,l69.5S6
`Ac
`I-
`4/24/2007
`AAAD 7,208,587
`I-
`7/31/2007
`”5°"‘99
`I-
`3/21/2007
`7259.252
`'- AA
`I: AAAG 5,990,57 1 11/1999
`.-
`6,576,291
`6/2003
`I-
`W-8°~’9
`8/2003
`I-
`2002/0066401
`6/2002
`H-
`2003/OOI7264
`1/2003
`
`Class
`
`Subclass
`
`Filing Date
`If A . ro . riate
`
`Mirkcn etal.
`
`Wcissetal.
`Bawendi et al.
`
`‘
`Peng etal.
`Treadway et al.
`
`~
`
`Examiner
`Initial
`
`uments or Published Forei n Patent A lications
`
`.
`
`Publication
`Date
`
`.
`
`Country or
`Patent Office
`
`Class
`
`Subclass
`
`BA ----
`W0I ----
`W0- ----
`-3
`----
`-----
`BF ----
`
`W0
`
`Other Documents include Author, Title, Date, and Place of Publication
`
`ID
`
`CB
`
`Initial
`/8 S /
`Aktsipetrov, O.A., et al. “Generation ofreflected second harmonic at semiconductor quantum dots,"
`A
`I
`JETP Letters, Vol. 55, No. 8, 435-439 I992 .
`/S S /
`Baltrameyunas. R.. ez al., “ Fast switching of the transmission of light by glasses activated with CdS
`'
`'
`microcr sta|s,“Sov. Pl: 5. Semicond.,Vol.25 No.2, 164-166 (I991).
`- Baltramiejunas, R., er al. “Rapid Processes of Darkening and Bleaching in CdS Doped Glasses,"
`Suerlalrices and Microsrrucmres Vol. I0, N0. 3. 307-310 (I990 .
`
`Document
`
`Examiner Signature‘
`
`_
`
`Date Considered 1 0
`
`/Stepiensw -
`
`Initials citation considered. Draw line through citation it not in confonnance and not considered. Include copy of this term with
`EXAMINEFI:
`next communication to a licant.
`
`Substitute Disclosure Form (PTO-1449)
`
`MIT901_2001-0012
`
`

`
`Substitute Form PTO-1449
`(Modified)
`
`U.S. Department of Commerce Attorney's Docket No.
`Patent and Trademark Office
`149520272 R2/Ex
`
`Control No.
`90/01()’736
`
`lnlormation Disclosure Statement
`by Applicant
`(Use several sheets if necessary)
`
`_
`Applicant
`Mouni G. Bawendt et al.
`filing Dam
`November 11, 2009
`
`Group An Unit
`3991
`
`Sheet 4 of 8
`
`Examiner
`Initial
`
`ID
`
`Other Documents include Author, Title, Date, and Place of Publication
`I
`Document
`Chamarro, M., et al., “Enhancement of Exciton Exchange Interaction by Quantum Confinement in
`CdSe Nanocr stals," Jn. J. A 1. PI: s, Vol. 34, I2-I4 (I994).
`Chamarro, M., et al.. “Size-dependent Electron-Hole Exchange Interaction in CdSe Quantum Dots,
`ll Nuovo Cimenro,” Vol. I7, Nos.
`I I-I2, (I995) I407-I4l2.
`Chepic,- D.I., er al., “Auger ionization of semiconductor quantum drops in a glass matrix," Journal of
`Luminescence 47 (I990) I I3- I27 North-Holland.
`Efros, A.L., et al., “Resonance Raman Spectroscopy of Electron-Hole Pairs -- Polar Phonon
`Coupling in Semiconductor Quantum Microcrystals," Solid State Communications, Vol. 78, No. I0,
`. . 853-856, I99].
`I
`Ekimov, A. 1., et al., “Absorportion and intensity-dependent photoluminescence measurements on
`CdSe quantum dots: assignment of the first electronic transitions,” Journal of the Optical Society of
`America, Vol. I0, Nos. I- I2, I00-I07 (I992).
`Ekimov, A.I., “Optical Properties of Oxide Glasses Doped by Semiconductor Nanocrystals,"
`Radiation E; ects and De ects in Solids, I995, Vol. 134,
`Ekimov, A.I., “Optical Properties of Semiconductor Quantum Dots in Glass Matrix.” Physica
`Scrita. Vol. T39, 2I7-222 (I991).
`Ekimov, A.I., er al. “Dimensional Effects in Luminescence Spectra of Zero—Dimensional
`Semiconductor Structures,” Bulletin of the Russian Academy of Sciences, Vol. 56, No. 2, pp. I54-
`I57, Februar , I992.
`Ekimov, A.I., et al., “Spectra and Decay Kinetics of Radiative Recombination in CdS
`Microcr sta|s,” Journal 0 Luminescence 46 (I990) 83-95 North-Holland.
`Ekimov, A.I., et al., “Donor-like Exciton in Zero-Dimension Semiconductor Structures," Solid State
`Commtmications, Vol. 69, No. 5, - . 565-568, 1989.
`Ekimov, A.I., et al., “Influence of high hydrostatic pressures on the exciton spectrum of CdS
`microcr stals in lass,” Sov. PI2 s. Semicond. 23(9). Setember 1989, n . 965-66.
`Ekimov, A.I., et al., “Nonlinear Optics of Semiconductor-Doped Glasses." Phys. Stat. Sol. (b) I50,
`u .
`.
`EI(ImOV, A.I., et al.. “Optics of Zero Dimensional Semiconductor Systems, Acta Physica Polonica
`a
`\o\o C 2o
`P‘ <2 \Iso %
`45
`LII
`Ekimov, A.I., et al., “Photoluminescence of quasizero-dimensional semiconductor structures,” Sov.
`P/t 3 Solid State 3I(8) Auust I9 9, no
`I385-93
`Ekimov, A.I., et ul., “Quantization of the energy spectrum of holes in the adiabatic potential ofthe
`electron," JEFF Lett., Vol. 43, No. 6, 25 March I986, . . 376-379.
`Ekimov, A.I., et al., “Quantum Size Effect in Semiconductor MicrocrystaIs," Solid State
`Commttnimtions, Vol. 56, No. I I, o . 92]-924, I985.
`Ekimov, A.I., et al., “Quantum size effect in the optical spectra of semiconductor microcrystals,"
`Sov. Ph 3. Semicond. 16(7), Jul
`I982, o . 775-778.
`Ekimov, A.I., et al.. “Quantum size effect in three-dimensional microscopic semiconductor
`cr stals." JETP Lett. Vol. 34, No. 6, 20 Se tember I98 I ,
`u . 345-349.
`Ekimov, A.I., et al., “Quantum-Size Stark Effect in Semiconductor Microcrystals," Journal of
`Luminescence 46 (I990) 97- I00 North-Holland.
`Ekimov, A.I., et al.. “Size quantization of the electron energy spectrum in a microscopic
`semiconductor cr stal," JETP Lett., Vol. 40. No. 8.25 October I984, o . I I36-I I39.
`
`Examiner
`
`Date Considered 1 O
`
`Initials citation considered. Draw line through citation if not in conlonnance and not considered. Include copy oi this fonn with
`EXAMINER:
`next communication to a - Iicant.
`
`Substitute Disclosure Form (PTO-1449)
`\
`
`MIT901_2001-0013
`
`

`
`Sheet _5_ of _§_
`
`Substitute Form PTO-1449
`(Modified)
`
`U.S. Department oi Commerce Attorney's Docket No.
`Patent and Trademark Office
`149520272 R2/EX
`
`Control No.
`90/010,736
`
`Information Disclosure Statement
`by Applicant _
`(Use several sheets if necessary)
`
`_
`Applicant.
`Mount G. Bawendi et al.
`Hung Date
`November 11, 2009
`
`Group An Um
`3991
`
`Examiner
`Initial
`
`Other Documents include Author, Title, Date, and Place of Publication
`Desig.
`ID
`
`Grabovskis, V.Y.. er al.. “Photoionization of semiconducting microcrystals in glass," Sov. Phys.
`Solid S!ate3I(l),Januar
`1989, u I49-l5l.
`Gurevich, S.A.. er al. “Preparation and investigation of S101 films activated by CdS semiconductor
`nanocr stats,“ Soviet Ph sics Semiconductors. Vol. 26,57-59 (I992).
`_
`Gurevich, S.A., er al., “Growth of CdS nanocrystals in silicate glasses and in thin SIO; films in the
`Initial states of the phase separation of a solid solution." Semiconductors, 28 (5). May I994, 486-
`493.
`
`ltoh, T. er al., “Interface effects on the properties of confined excitons in CuCl microcrystals.”
`Journal 0 Luminescence 60 & 6| (I994) 396-399.
`Itoh. T., er al., “Subpicosecond dynamics ofconfined excitons in CuCl nanocrystals." Materials
`Science and En ineerin A2 I7/2 I 8 (I996) I67-I70.
`_
`Jursenas, S.. el al., “Surface Recombination of Nonequilibrium Electron—l-Iole Plasma in Laser-
`Modified Semiconductor-Doped Glasses,” Solid State Communications, Vol. 87, No. 6, 577-580
`(I993).
`Saviot, L., et al., “Effects of Resonance on Low-Frequency Raman Scattering From Semiconductor
`Nanocr stals," Radiation E ects and De ears in Solids, I995, Vol. I37, - -45-50.
`Tamulaitis. G., et al.. “Dynamics of Nonlinear Optical Response of CuBr-Doped Glasses,"
`Suerlatrices and Microstrucmres, Vol. 3, No. 2, I99-202 (I993).
`Vandyshev, Y.V.. er al., “Nonlinear optical properties of semiconductor microcrystals,” ./ETP LeIt.,
`Vol. 46. No. IO, 25 November I987 u . 435-439.
`Volkov. A.S.. er al., “Oscillations of polarization of recombination radiation of a variable gap
`semiconductor in a ma netic field." JETP Lett., VoI.25 No.55, 526-528 (I977).
`Dneproviskii. V.S., et al., “Time-Resolved Luminescence ofCdSe Microcrystals." Solid State
`Communications. Vol. 74, N0. 7, I . 555-557, I990.
`
`wells," Ph 5. Rev. B 1996, 53, RI3242-RI3245.
`MICI
`et aI., “Core-S hell Quantum Dots of Lattice—Matched ZnCdSe2 Shells on InP Cores:
`Ex eriment and Theor ," J. Ph 3. Chem. B 2000, I04 (5l), I2l49 -I2I56.
`
`Aggarwal et aI., “Insights into US public biotech sector using patenting trends”,
`2006, Nature Biotechnolo (Vol. 24, No. 6, 643).
`
`Beverloo et aI., "Inorganic Phosphors as New Luminescent Labels for
`Immunocytochemisttry and Time—Resolved Microscopy", 1990, Cytometry (V01.
`11, s. 784-792
`’
`Bighm et aI., "Deactivation of Q-CdS Photoluminescence Through
`Polynucleotide Surface Binding", I992, Journal of Physical Chemistry (Vol. 96,
`o s. I058I- 10583)
`
`Bigham et al., "The Influence of Adenine Content on the Properties of Q-CdS
`Clusters Stabilized by Polynucleotides", I995, Colloids and Surfaces A:
`Ph sicochemical and En ineerin Asects (Vol. 95, s. 21 I-219)
`
`Examiner Signature
`
`Date Considered
`12/13/2010
`/Stephen Stein!
`Initials citation considered. Draw line through citation it not in conformance and not considered. Include copy of this lonn with
`EXAMINER:
`next communication to a - licant.
`
`Substitute Disclosure Form (PTO-1449)
`
`MIT901_2001-0014
`
`

`
`Substitute Form PTO-1449
`(Modilied)
`
`U.S. Department of Commerce Attomey‘s Docket No.
`Patent and Trademark Office
`149510272 R2/Ex
`
`Control No.
`90/010,736
`
`lnlormatlon Disclosure Statement
`by Applicant
`(Use several sheets if necessary)
`
`I
`
`App|icam_
`Mount G. Bawendi et al.
`Filing Dam
`November 11, 2009
`
`Group An Unit
`3991
`
`Sheet _6_ of _8_
`
`Other Documents (include Author, Title, Date, and Place of Publication
`Examiner Desig.
`Initial
`1D
`
`Document
`
`'
`
`Bigham, "Influence of Polynucleotide Stabilizers on Selected Properties of
`Quantum- Confined Cadmium Sulfide Semiconductor Clusters", 1996, Thesis
`submitted to Graduate Faculty of AddRan College of Arts and Sciences Texas
`Christian Universi
`
`Bimberg et aI., “Luminescence properties of semiconductor quantum dots”, 1997,
`J. Luminescence (Vol, 72-74.
`es 34-37).
`Chamarro et al., “Optical properties of Mn-doped CdS nanocrystals", 1996, J. of
`Cr stal Growth (Vol. 159,
`es 853-856).
`
`Chandler et al., "Preparation and Spectroscopic Analysis of Semiconductor
`01. 70, A7-A10
`Chikan et al., “Synthesis of highly luminescent GaSe nanoparticles", 2002, Nano
`Letters (Vol. 2, No.2, 141-145).
`
`Coffer et al., "Dictation of the Shape of Mesoscale Semiconductor Nanoparticles
`Assemblies by Plasmid DNA", 1996, Applied Physics Letter (Vol. 69(25), pgs.
`3851-3853)
`Coffer et al., "Nucleotides As Structural Templates for the Self- Assembly of
`Quantum- Confined CdS Clusters", 1991, R.R. Material Research Society
`S mosium Proceedin s, (Issue 206, n s. 527-531)
`'
`Dameron et al., "Biosynthesis of Cadmium Sulphide Quantum Semiconductor
`3
`-
`Cr stallites", 1989, Nature Vol. 338 n s. 596-597)
`Dameron et al., "G1utathione~Coated Cadmium Sulfide Crystallites in Candida
`CAW glabrata", 1989, The Journal of Biological Chemistry (Vol. 264(29), pgs. 17355-
`17360)
`Gelbart et al., “The ‘New’ science of ‘complex fluids”’, 1996, J. Phys. Chem. (Vol.
`100, a es 13169-13189).
`
`CAX
`
`I I
`
`I
`
`CA
`
`Y
`
`G >N
`
`OF")DJED0U3
`
`core/shell nanocr stals", 2000, Adv. Mater. (Vol. 12, No. 2, 123).
`Haugland, "Handbook of Fluorescent Probes and Research Chemicals", 1996,
`Molecular Probes (Sixth edition).
`Hermanson, "Bioconjugate Techniques", 1996, Academic Press (New York)
`Huang et al., “Assembly and applications of the inorganic nanocrystals in polymer
`networks", 1998, Thin Solid Films Vol. 327-329, a es 536-S40).
`Huibers et al., “Prediction of critical micelle concentration using a quantitative
`structure-property relationship approach. 1. Nonionic surfactants”, 1996, Langmuir
`(Vol. 12, :1 es 1462-1470)
`
`Examiner Signature
`
`Date Considered 2
`
`12/13/2010
`/Stephen Steinl
`EXAMINER:
`initials citation considered. Draw line through citation it not in conformance and not considered. Include copy of this form with
`next communication to a licant.
`
`Substitute Disclosure Form (PTO-1449)‘
`
`MIT901_2001-0015
`
`

`
`Sheet __7_ of _8_
`
`Substitute Form PTO-I449
`(Modified)
`
`US. Department ol Commerce Attorney's Docket No.
`Patent and Trademark Office
`149510272 R2/Ex
`
`Control No.
`90/010,736
`
`information Disclosure Statement
`by Applicant
`(Use several sheets it necessary)
`
`_
`Bawendi CI ill.
`
`"PP"‘°3"‘_
`MOUFII
`Filing Date
`November 11, 2009
`
`Group An Uni,
`3991
`
`'
`
`Examiner
`Initial
`
`Other Documents include Author Title Date, and Place of Publication
`Desig.
`I
`D
`
`Document
`
`/35]
`
`U5U1
`
`C
`
`F
`
`H
`
`0DE-B
`BIn
`
`Lawton et al., "Biomolecular Self-Assembly of Quantum Dot Composites", 1994,
`CBD Materials Research Symposium Proceedings Vol. 330 (Biomolecular Materials by
`Desi n),
`es 283-288.
`Mirkin et al., "A DNA-based method for rationally assembling nanoparticles into
`macroscoic materials", 1996, Nature Vol. 382, .; .
`Moffitt et a1., “Spherical assemblies of semiconductor nanoparticles in water-
`soluble block copolymer aggregates”, 1998, Chem. Mater. (Vol. 10, pages 1021-
`1028).
`Ohnishi, “Electroluminescent display materials”, 1989, Annu. Rev. Mater. Sci.
`(Vol. 19, aes 83-101).
`Olshavsky et a1.. “Synthesis of CdS nanoparticles in solution and in a
`01 hoshazene matrix”. 1997, Chem. Mater. (Vol. 9, a es 1367-1376).
`Pileni et al., “Synthesis of Cadmium sulfide in situ in reverse micelles: influence of
`the preparation modes on size, polydispersity, and photochemical reactions”, 1992,
`Chem. Mater. (Vol.4, a es 338-345).
`Qiu et al., “Study of the core-shell nanoparticle formed through the ‘coil-to-
`globule’ transition of po1y(N-isopropylacrylamide) grafted with poly(ethylene
`oxide)”, I997, Macromolecules (Vol. 30, a es 7921-7926).
`Rogach et a1., “Layer-by-layer assembled films of HgTe nanocrystals with strong
`infrared emission”, 2000, Chem. Mater. (Vol. 12,
`es 1526-1528).
`Service. “Materials Science: Small clusters hit the big time”, 1996, Science (Vol.
`271, a es 920-922).
`'
`Taiapin et al., “PbSe nanocrystal solids for n- and p-channel thin film field—effect
`transistors”, 2005, Science (Vol. 310,
`es 86-89).
`Toth et al., “Structure of BRIJ-35 nonionic surfactant in water: a reverse monte
`carlo stud ", 2006, Lan muir(Vo1. 22,
`es«590-597).
`
`C
`
`B
`
`I
`
`C
`
`B
`
`J
`
`CBP
`
`Watzke et al., “Quantum size effects of in situ generated colloidal CdS particles in
`CBO Dioctadecyldimethylammonium chloride surfactant vesicles", 1987, J. Phys. Chem.
`(Vol.91, aes 854-861).
`Weller et a1., "Nanocrysta1s of II-VI Semiconductor Materials", 1995, Materials
`Research Symposium Proceedings Vol. 358 (Microcrystalline and Nanocrystalline
`Semiconductors), a es 213-218.
`'
`Weller, "Optical Properties of Quantized Semiconductor Particles", 1996,
`Philosohical Transactions of the R0 a1 Societ
`: A. (Vol. 354(l708), s. 757-766).
`Yang et a1., “Epitaxial growth of size—quantized cadmium sulfide crystals under
`arach-idic acid monola ers”, 1995,
`. Ph 5. Chem.
`01. 99, aes 5500-5504 .
`Database Crossfire Onlinel; Beilstein lnstitut zur Forderung der Chemischen Wissenschaft; Beilstein
`Reistr Numbers 2097823 and 1860016; XPO02lS2687 - Abstract
`
`('3 W 77
`
`CBS
`
`Examiner Signature
`12/13/2010
`/Stephen Steinl
`EXAMINER:
`Initials citation considered. Draw line through citation it not in conlormance and not considered. Include copy of this form with
`next communication to a - licant.
`
`Date Considered
`
`Substitute Disclosure Fonn (PTO-1449)
`
`MIT901_2001-0016
`
`

`
`Substitute Form PTO-1449
`(Modilied)
`
`US. Department of Commerce Attorney's Docket No.
`Patent and Trademark Ottice
`149520272 R2/EX
`
`Control No.
`90/010,736
`
`Information Disclosure Statement
`by Appficant
`(Use several sheets if necessary)
`
`_
`"F’9"°a“‘_
`Mount G. Bawendi et al.
`Filing Data
`November 11,2009
`
`Group An Uni,
`3991
`
`Sheet 8 at 9
`
`Examiner
`Init