IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Reexamination of
`US. Patent No. 6,322,901
`
`Inventor: Moungi Bawendi, et al.
`Patentee: Massachusetts Institute of Technology
`Application Serial No: 08/969,302
`Filed: November 13, 1997
`Issued: November 27, 2001
`For: Highly Luminescent Color-Selective
`
`Nano-Crystalline Materials
`
`§
`§
`
`2
`2
`§§
`2
`2
`§§
`
`§
`
`Group A11 Unit:
`
`Examiner:
`Atty. Dkt. No; 038~0003RX
`Client Ref.
`
`CERTIFICATE OF SERVICE
`
`I hereby certify that on this 16th day of October, 2009, a copy of the attached Request
`for Reexamination in the above entitled matter has been served via Federal Express upon the
`addressed below:
`
`Steptoe & Johnson LLP
`1330 Connecticut Avenue, NW
`Washington, DC 20036
`
`v/5’[§SLM/ J/7
`RusseLlT Wong
`
`E
`
`MIT901_2005—0001
`
`EX. 2005
`
`MIT901_2005-0001
`
`

`

`PTO/83158 (02-09)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Papemork Reduction Act of 1995. no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`(Also referred to as FORM PTO-1465)
`REQUEST FOR INTER PARTES REEXAMlNATlON TRANSMITTAL FORM
`
`Address to:
`
`Mail Stop Inter Partes Reexam
`Commissioner for Patents
`
`P-O- Box 1450
`Alexandria, VA 22313-1450
`
`
`Attorney Docket No.: 038-0003RX
`
`Date: October 16, 2009
`
`5,322,901
`..This is a request for interpertes reexamination pursuant to 37 CFR 1.913 of patent number
`issued November 27 2001
`. The request is made by a third party requester, identified herein below.
`
`a. The name and address of the person requesting reexamination is:
`
`Russell T. Wong
`
`20333 State Highway 249, Suite 600
`
`Houston, Texas 77070
`
`
`b_ The real party in interest (37 CFR 1.915(b)(8)) is: Nanoco Technologies Ltd.
`
`E]
`
`a.
`
`b,
`
`A check in the amount of $
`
`is enclosed to cover the reexamination fee, 37 CFR 120(c)(2);
`
`The DirectorIs hereby authorized to charge the fee as set forth in 37 CFR 1 20(c)(2)
`to Deposit Account No 501922
`,'or
`
`D c.
`
`Payment by credit card. Form PTO-2038 is attached.
`
`I.Any refund should be made by D check or I credit to Deposit Account No 501922
`37 CFR 1 26(c) If paymentIs made by credit card refund must be to credit card account.
`
`[Z A copy of the patent to be reexamined having a double column format on one side of a separate paper is
`enclosed. 37 CFR 1.915(b)(5)
`
`
`
` [: Nucleotide and/or Amino Acid Sequence Submission
`
`I: CD-ROM or CD-R in duplicate, Computer Program (Appendix) or large table
`D Landscape Table on CD
`
`If applicable, items a. — c. are required.
`
`a, [3 Computer Readable Form (CRF)
`b. Specification Sequence Listing on:
`
`E] CD-ROM (2 copies) or CD—R (2 copies); or
`D paper
`
`0. E] Statements verifying identity of above copies
`
`8. [j A copy of any disclaimer, certificate of correction or reexamination certificate issued in the patent is included,
`
`9,
`
`10.
`
`Reexamination of claim(s) 1'31
`
`is requested.
`
`A copy of every patent or printed publication relied upon is submitted herewith including a listing thereof on
`Form PTO/SB/OB, PTO-1449, or equivalent.
`
`11.
`
`An English language translation of all necessary and pertinent non-English language patents and/or printed
`publications is included
`
`'age 1 o
`This collection of information is reqmred by 37 CFR 1.915. The information is required to obtain or retain a benefit by the public thch is to fie (and by the USPTO to
`promss) an appiicationt Confidentiality is governed by 35 U512 12 and 37 CFR 111 and 1.14. This collection is estimated to take 2 hours to comptete.
`including
`gathering, preparing, and submitting the completed application form to the USPTO, Time will vary depending upon the individual case, Any comments on the amount
`of time you require to compiete this form and/or suggestions for reduang this burden, should be sent to the Clue! Information Officer, US. Patent and Trademark
`Office. US. Department of Commerce, PO, Box 1450. Alexandria, VA 2231;1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
`To: Mail Stop Inter Panes Reoxam. Commissioner for Patents, P0. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, call 1-800~PTO—9 199 and select option 2.
`
`MIT901_2005—0002
`
`MIT901_2005-0002
`
`

`

`PTO/83158 (02-09)
`Approved for use through 08/31/2010. OMB 0651-0033
`US Patent and Trademark Office; US DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995‘ no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`
`12‘ X The attached detailed request includes at least the following items.
`
`a. A statement identifying each substantial new question of patentability based on prior patents and printed
`publications 37 CFR 1.915(b)(3)
`b. An identification of every claim for which reexamination is requested, and a detailed explanation of the pertinency
`and manner of applying the cited art to every claim for which reexamination is requested. 37 CFR 1.915(b)(1) & (3t
`
`
`
`
`13‘
`
`14.
`
`It is certified that the estoppel provisions of 37 CFR 1907 do not prohibit this reexamination. 37 CFR 1.915(b)(7)
`
`a.
`
`It is certified that a copy of this request has been served in its entirety on the patent owner as provided in
`37 CFR 1,33(c).
`The name and address of the party served and the date of service are:
`
`Steptoe & Johnson LLP
`
`
`1330 Connecticut Avenue, NW
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`October 16‘ 2009
`; o,
`
`
`
`
`
`
`D b A duplicate copy is enclosed because service on patent owner was not possible. An explanation of the efforts
`made to serve patent owner is attached. gee MPEP 2620
`
`
`
`
`15‘ Third Party Requester Correspondence Address: Direct all communications about the reexamination to:
`
`
`
`Washington, DC 20036
`
`Date of Service:
`
`
`
`
`
`
`The address associated with Customer Number:
`
`29855
`
`OR
`
`
`
`
`
`[:1
`Address
`
`Firm or
`Individual Name
`
`
`
`
`
`
`Email
`Telephone
`
`
`
`
` 16. [j The patent is currently the subject of the following concurrent prooeeding(s):
`
`
`
`
`WARNING: Information on this form may become public. Credit card information should not be
`included on this form. Provide credit card information and authorization on PTO-2038.
`
`lRusselI Tr Wong/
`Authorized Signature
`
`October 16, 2009
`Date
`
`
`
`MIT901_2005—0003
`
`
`
`
`
`
`
`
`
`
`E] a Copending reissue Application No.
`D b Copending reexamination Control No,
`D c. Copending Interference No.
`D d. Copendinglitigaiion styled:
`
`
`
`
`
`
`
`
`
`
`
`
`
`Russell T. Wong
`32,322
`
`Typed/Printed Name Registration No, if applicable
`
`[Page 2 of 2]
`
`MIT901_2005-0003
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (PL. 93-579) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuant to the requirements of the Act, please be advised that:
`(1) the general authority for the
`collection of this information is 35 USS 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the US, Patent and Trademark
`Office is to process and/or examine your submission related to a patent application or patent. If you do
`not furnish the requested information, the US. Patent and Trademark Office may not be able to
`process and/or examine your submission, which may result in termination of proceedings or
`abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`The information on this form will be treated confidentially to the extent allowed under the
`Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Department of Justice to determine whether
`disclosure of these records is required by the Freedom of information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations
`to a Member of
`A record in this system of records may be disclosed, as a routine use,
`Congress submitting a request involving an individual. to whom the record pertains, when the
`individual has requested assistance from the Member with respect to the subject matter of the
`record.
`A record in this system of records may be disclosed, as a routine use, to a contractor of the
`Agency having need for the information in order to perform a contract. Recipients of
`information shall be required to comply with the requirements of the Privacy Act of 1974, as
`amended, pursuant to 5 USE. 552a(m).
`A record related to an International Application filed under the Patent Cooperation Treaty in
`this system of records may be disclosed, as a routine use. to the international Bureau of the
`World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal
`agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to
`the Atomic Energy Act (42 U.S.C. 218(c)).
`A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or his/her designee, during an inspection of records conducted by GSA as
`part of that agency's responsibility to recommend improvements in records management
`practices and programs, under authority of 44 U50 2904 and 2906. Such disclosure shall
`be made in accordance with the GSA regulations governing inspection of records for this
`purpose, and any other relevant (i.6., GSA or Commerce) directive, Such disclosure shall not
`be used to make determinations about individuals.
`A record from this system of records may be disclosed, as a routine use, to the public after
`either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent
`pursuant to 35 USC, 151. Further, a record may be disclosed, subject to the limitations of 37
`CFR 1.14, as a routine use, to the public if the record was filed in an application which
`became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspection or an
`issued patent.
`A record from this system of records may be disclosed, as a routine use, to a Federal, State,
`or local law enforcement agency, if the USPTO becomes aware of a violation or potential
`violation of law or regulation.
`
`MIT901_2005—0004
`
`MIT901_2005-0004
`
`

`

`
`
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Reexamination of
`
`US. Patent No. 6,322,901
`
`Inventor: Moungi Bawendi, et a1.
`
`Patentee: Massachusetts Institute of Technology
`
`Application Serial No.: 08/969,302
`
`Filed: November 13, 1997
`
`Issued: November 27, 2001
`
`For: Highly Luminescent Color-Selective
`
`Nam-Crystalline Materials
`
`mmmmmmmmmmmmmmm
`
`Group Art Unit:
`
`Examiner:
`
`Atty. Dkt. No.2 038-0003RX
`
`Client Ref.
`
`REQUEST FOR INTER PARTES REEXAMlNATlON
`
`OF US. PATENT NO. 6,322,901
`
`UNDER 35 U.S.C. § 311 and 37 CFR § 1.913
`
`MAIL STOP INTER PARTES REEXAM
`
`Commissioner for Patents
`
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`MIT901_2005—0005
`
`MIT901_2005-0005
`
`

`

`
`
`
`
`TABLE OF EXHIBITS
`
`Exhibit 1
`
`Exhibit 2
`
`Exhibit 3
`
`Exhibit 4
`
`Exhibit 5
`
`Exhibit 6
`
`Exhibit 7
`
`Exhibit 8
`
`Exhibit 9
`
`Exhibit 10
`
`Exhibit 1 1
`
`US. Patent No. 6,622,901
`
`Margaret Hines and Philippe Guyot—Sionnest, “Synthesis and
`Characterization of Strongly Luminescin g ZnS-Capped CdSe
`Nanocrystals,” Journal of Physical Chemistry, 1996, 100, 468—471
`(“Hines”)
`
`Response to Office Action mailed April 20, 2000
`
`Murray et al. “Synthesis and Characterization of Nearly Monodisperse CdE
`(E = S, Se, Te) Semiconductor Nanocrystallites,” J . Am. Chem. Soc. 1993,
`115, 8706—15 (“Murray”)
`
`M. Kuno et al. “The Band Edge Luminescence of Surface Modified CdSe
`Nanocrystallites: Probing the Luminescence State,” J. Chem. Phys. 1997,
`106(23), 9869-82 (“Kuno”)
`
`Danek et a1. “Preparation of ll—Vl quantum dot composites by electrospray
`organometallic chemical vapor deposition,” J. Cryst. Growth, 1994, 145,
`714-720 (“Danek”)
`
`Kortan et al. “Nucleation and Growth of CdSe on ZnS Quantum Crystallite
`Seeds, and Vice Versa, in Inverse Micelle Media,” J. Am. Chem. Soc. 1990,
`112, 1327—32 (“Kortan”)
`
`Original Claims
`
`Office Action Dated May 12, 1999
`
`Response to Office Action mailed September 13, 1999
`
`Office Action Mailed January 20, 2000
`
`Exhibit 12
`
`Notice of Allowance
`
`Exhibit 13
`
`Exhibit 14
`
`Exhibit 15
`
`US. Patent No. 5,559,057 (“Goldstein”)
`
`Premachandran ct al., “The Enzymatic Synthesis of Thiol—Containing
`Polymers to Prepare Polymer—CdS Nanocomposites,” Chem. Mater., 1997,
`1342—47 (“Premachandran”)
`
`Coffer ct al., “Characterization of quantum-confined CdS nanocrystallites
`stabilized by deoxyribonucleic acid (DNA),” Nanotechnology 1992 69-76
`
`i
`
`MIT901_2005—0006
`
`MIT901_2005-0006
`
`

`

`
`
`(“Coffer”)
`
`
`
`Exhibit 16
`
`Exhibit 17
`
`Tischchenko, et 31., Solid State Communications, V01. 96, 1995, 795-798
`(“Tischchcnko”)
`
`Probability and Statistics for Modern Engineering, Second Edition, PWS-
`KENT Publishing Company, 1990, page 47
`
`ii
`
`MIT901_2005—0007
`
`MIT901_2005-0007
`
`

`

`
`
`
`
`TABLE OF CONTENTS
`
`1.
`
`Claims for Which Reexamination is Requested ...................................................................... 1
`
`II. Real Party in Interest ............................................................................................................... 2
`
`III. Summary of the Request .......................................................................................................... 2
`
`A.
`
`Prior Art ........................................................................................................................ 3
`
`1. Hines ....................................................................................................................... 3
`
`2. Murray .................................................................................................................... 6
`
`3
`
`Kuno ....................._................................................................................................ 10
`
`4. Danek .................................................................................................................... 11
`
`5. Kortan ................................................................................................................... 12
`
`B.
`
`Change in the Law Concerning Obviousness ............................................................. 13
`
`IV. Statement Pointing Out Each Substantial New Question of Patentability ............................ 13
`
`V. Background of the ‘90] Patent .............................................................................................. 14
`
`A.
`
`B.
`
`The ‘901 Specification ................................................................................................ 14
`
`The Prosecution of the ‘901 Patent ............................................................................. 16
`
`VI. Detailed Explanation Under 37 CFR 1.915(b) ...................................................................... 19
`
`A.
`
`Hines ........................................................................................................................... 20
`
`1. Hines Anticipates Claim 1 of the ‘901 Patent ...................................................... 21
`
`2. Hines Anticipates Claims 2 and 3 of the ‘901 Patent ...........................................24
`
`3
`
`Hines Anticipates Claims 4 and 5 of the ‘90] Patent ........................................... 25
`
`4. Hines Anticipates Claim 6 of the ‘901 Patent ...................................................... 26
`
`5
`
`6
`
`Hines Anticipates Claims 7 and 8 of the ‘901 Patent ...........................................26
`
`Hines and Murray render Claims 7 and 8 of the ‘901 Patent
`Obvious ................................................................................................................. 28
`
`7. Hines Anticipates Claim 9 of the ‘901 Patent ...................................................... 29
`
`8. Hines Anticipates Claims 10 and 11 of the ‘901 Patent ....................................... 30
`
`9. Hines and Murray render Claims 10 and 11 of the ‘901 Patent
`Obvious ................................................................................................................. 33
`
`1
`
`MIT901_2005—0008
`
`MIT901_2005-0008
`
`

`

`
`
`
`
`10. Hines Anticipates Claim 12 ofthe “901 Patent37
`
`11. Hines Anticipates Claim 13 and 14 of the ‘901 Patent ........................................ 37
`
`12. Hines Anticipates Claim 15 of the ‘901 Patent .................................................... 38
`
`13. Hines Anticipates Claim 16 ofthe ‘901 Patent3‘9
`
`14. Hines Anticipates Claim 17 of the ‘901 Patent .................................................... 39
`
`15. Hines Anticipates Claims 18—20 of the ‘901 Patent .............................................4O
`
`16. Hines and Goldstein render Claim 19 of the ‘901 Patent Obvious ......................41
`
`17. Hines and Premachandran render Claim 21 of the ‘901 Patent
`
`Obvious .................................................................................................................42
`
`18. Hines and Coffer render Claim 21 of the ‘901 Patent Obvious ...........................44
`
`19. Hines Anticipates Claims 22—25 of the ‘901 Patent ............................................. 46
`
`20. Hines Anticipates Claims 26—27 of the ‘901 Patent ............................................. 47
`
`21. Hines Anticipates Claim 28 of the ‘901 Patent .................................................... 48
`
`22. Hines Anticipates Claim 29 of the ‘901 Patent .................................................... 49
`
`23. Hines Anticipates Claim 30 of the ‘901 Patent .................................................... 49
`
`24. Hines Anticipates Claim 31 of the ‘901 Patent .................................................... 50
`
`B.
`
`Kuno ............................................................................................................................ 51
`
`1. Kuno Anticipates Claim 1 of the ‘901 Patent ....................................................... 53
`
`2. Kuno Anticipates Claims 2 and 3 ofthe ‘901 Patent ........................................... 55
`
`3. Kuno Anticipates Claims 4 and 5 of the ‘901 Patent ........................................... 56
`
`4. Kuno Anticipates Claim 6 of the “901 Patth ....................................................... 57
`
`5. Kuno Anticipates Claims 7 and 8 of the ‘901 Patent ........................................... 57
`
`6. Kuno and Murray render claims 7 and 8 of the ‘901 Patent
`Obvious ................................................................................................................. 58
`
`7. Kuno Anticipates Claim 9 of the ‘901 Patent ....................................................... 60
`
`8. Kuno Anticipates Claims 10 and 11 of the ‘901 Patent ....................................... 61
`
`9. Kuno and Murray Render Claims 10 and l l of the “901 Patent
`Obvious ................................................................................................................. 62
`
`10. Kuno Anticipates Claim 12 ofthe ‘901 Patent ..................................................... 65
`
`1 1. Kuno Anticipates Claim 13 and 14 of the ‘901 Patth ......................................... 65
`
`ii
`
`MIT901_2005—0009
`
`MIT901_2005-0009
`
`

`

`
`
`
`
`12. Kuno Anticipates Claim 15 of the ‘90] Patent ..................................................... 66
`
`13. Kuno Anticipates Claim 16 of the ‘90] Patent ..................................................... 67
`
`14. Kuno Anticipates Claim 17 of the ‘90] Patent ..................................................... 67
`
`15. Kuno Anticipates Claims 18—20 of the ‘90] Patent .............................................. 68
`
`16. Kuno and Premachandran render Claim 21 of the ‘90] Patent
`
`Obvious ................................................................................................................. 69
`
`17. Kuno and Coffer Render Claim 21 of the ‘90] Patent Obvious ........................... 72
`
`18. Kuno Anticipates Claims 22—25 of the ‘90] Patent .............................................. 73
`
`19. Kuno Anticipates Claims 26—27 of the ‘90] Patent .............................................. 74
`
`20. Kuno Anticipates Claim 28 of the ‘90] Patent ..................................................... 75
`
`21. Kuno Anticipates Claim 29 of the ‘90] Patent ..................................................... 76
`
`22. Kuno Anticipates Claim 30 of the ‘90] Patent ..................................................... 76
`
`23. Kuno Anticipates Claim 31 of the ‘90] Patent ..................................................... 77
`
`C.
`
`Danek .......................................................................................................................... 78
`
`1. Danek Anticipates Claim ] of the ‘90] Patent ..................................................... 78
`
`2. Danek Anticipates Claims 2 and 3 of the ‘90] Patent .......................................... 80
`
`3. Danek and Murray Renders Claim 3 of the ‘90] Patent Obvious ........................ 82
`
`4. Danek Anticipates Claims 4 and 5 of the ‘90] Patent .......................................... 83
`
`5. Danek Anticipates Claim 6 of the ‘90] Patent ..................................................... 86
`
`6. Danek Anticipates Claims 7 and 8 of the ‘90] Patent .......................................... 87
`
`7. Danek Anticipates Claim 9 of the ‘90] Patent ..................................................... 87
`
`8. Danek Anticipates Claims 10 and 11 of the ‘90] Patent ...................................... 88
`
`9. Danek Anticipates Claim 12 of the ‘90] Patent ................................................... 9O
`
`10. Danek Anticipates Claim 13 and 14 of the ‘90] Patent ....................................... 90
`
`11. Danek Anticipates Claim 15 of the ‘90] Patent ................................................... 91
`
`1‘2. Danek Anticipates Claim 17 of the ‘90] Patent ................................................... 92
`
`13. Danek Anticipates Claims 18-20 of the ‘90] Patent ............................................ 92
`
`14. Danek and Premachandran Render claim 21 of the ‘90] Patent
`
`Obvious ................................................................................................................. 93
`
`15. Danek and Coffer Render claim 21 of the ‘90] Patent Obvious .......................... 95
`
`iii
`
`MIT90]_2005—001 0
`
`MIT901_2005-0010
`
`

`

`
`
`
`
`16. Danek Anticipates Claims 22-24 of the ‘901 Patth ............................................ 97
`
`17. Danek Anticipates Claims 26—27 of the ‘901 Patent ............................................ 98
`
`18. Danek Anticipates Claim 28 of the ‘90] Patent ................................................... 99
`
`19. Danek Anticipates Claim 29 ofthe ‘901 Patth ................................................. 100
`
`20. Danek Anticipates Claim 30 of the ‘901 Patent ................................................. 100
`
`21. Danek Anticipates Claim 31 ofthe ‘901 Patent ................................................. 101
`
`D.
`
`Kortan and Murray.................................................................................................... 102
`
`l. Kortan and Murray Render Claim 1 of the ‘90] Patent Obvious ....................... 105
`
`2. Kortan and Murray Render Claims 2 and 3 of the ‘90] Patent
`Obvious ............................................................................................................... 107
`
`3. Kortan and Murray Render Claims 4 and 5 of the ‘90] Patent
`Obvious ............................................................................................................... 108
`
`4. Kortan and Murray Render Claim 6 of the ‘901 Patent Obvious ....................... l 10
`
`5. Kortan and Murray Render Claims 7 and 8 of the ‘901 Patth
`Obvious ............................................................................................................... l 10
`
`6. Kortan and Murray Render Claim 6 of the ‘901 Patent Obvious ....................... 111
`
`7. Kortan and Murray Render Claims 10 and 11 of the ‘901 Patent
`Obvious ............................................................................................................... 112
`
`8. Kortan and Murray Render Claim 12 of the ‘901 Patent Obvious ..................... 114
`
`9. Kortan and Murray Render Claims 13 and 11 of the ‘901 Patent
`Obvious ............................................................................................................... 114
`
`10. The Kortan and Murray References Render Claim 15 of the ‘901
`Patent Obvious .................................................................................................... 1 15
`
`l 1. Kortan and Murray Render Claim 16 of the ‘901 Patent Obvious ..................... l l6
`
`l2. Kortan and Murray Render Claim 17 of the ‘901 Patent Obvious ..................... 1 16
`
`13. Kortan and Murray Render Claims 18—20 of the ‘901 Patent
`Obvious ............................................................................................................... l 17
`
`14. Kortan, Murray, and Premachandran chdcr Claim 21 of the ‘901
`Patent Obvious .................................................................................................... 118
`
`15. Kortan, Murray, and Coffer Render Claim 21 of the ‘901 Patent
`Obvious ............................................................................................................... 120
`
`iv
`
`MIT901_2005—0011
`
`MIT901_2005-0011
`
`

`

`
`
`
`
`16. Kortan and Murray Render Claim 22—24 of the ‘901 Patent
`Obvious ............................................................................................................... 122
`
`17. Kortan and Murray Render Claims 26 and 27 of the ‘901 Patent
`
`Obvious ................................................................................................. .« ............. 122
`
`18. Kortan and Murray Render Claim 28 of the ‘901 Patent Obvious ..................... 123
`
`19. Kortan and Murray Render Claim 29 of the ‘901 Patent Obvious ..................... 124
`
`20. Kortan and Murray Render Claim 30 of the ‘901 Patent Obvious ..................... 124
`
`21. Kortan and Murray Render Claim 31 of the ‘901 Patent Obvious ..................... 125
`
`VII. Conclusions .......................................................................................................................... 126
`
`v
`
`MIT901_2005—0012
`
`MIT901_2005-0012
`
`

`

`
`
`
`
`I.
`
`Claims for Which Reexamination is Requested
`
`Pursuant to 35 U.S.C. § 311 and 37 CFR § 1.913, reexamination of claims 1—31 ofUS.
`
`Patent 6,322,901 (“the ‘901 Patent”) (Exhibit 1) is respectfully requested, in View of the
`
`following references:
`
`
`Hines
`Margaret Hines and Philippe Guyot~Si0nnest, “Synthesis and
`Characterization of Strongly Luminescing ZnS—Capped CdSe
`Nanocrystals,” Journal of Physical Chemistry, 1996, 100, 468471.
`Murray et a1. “Synthesis and Characterization of Nearly Monodisperse CdE
`(E Z S, Se, Te) Semiconductor Nanocrystallites,” J. Am. Chem, Soc. 1993,
`51
`115, 8706-15.
`Kuno
`M. Kuno et al. “The Band Edge Luminescence of Surface Modified CdSe
`Nanocrystallites: Probing the Luminescence State,” J. Chem. Phys. 1997,
`106(23), 9869—82.
`Danek et al. “Preparation of II-VI quantum dot composites by electrospray
`organometallic chemical vapor deposition,” J. Cryst. Growth, 1994, 145,
`714—720.
`
`Keitan
`
`Murray
`
`._,.
`
`Danek
`
`Goldstein
`Prem achandran
`
`Coffer
`
`Seeds, and Vice Versa, in Inverse Micelle Media,” J. Am. Chem. Soc. 1990,
`112, 1327—32.
`US. Patent No. 5,559,057.
`
`Premachandran et 211., “The Enzymatic Synthesis of Thiol-Containing
`Polymers to Prepare Polymer—CdS Nanocomposites,” Chem. Mater., 1997,
`1342—47.
`
`Coffer et a1., “Characterization of quantum—confined CdS nanocrystallites
`stabilized by deoxyribonucleic acid (DNA),” Nanotechnology 1992 69—76.
`
`More specifically:
`
` 1
`
`F 1
`
`t Kortan et a1. “Nucleation and Growth of CdSe on ZnS Quantum Crystallite
` 19
`
`
`
`Reexamination of claims:
`is requested in View of:
`
`Hines.
`' 1-20 and 22—31
`
`The combination of Hines and Murray.
`7, 8, 10, and 11
`
`The combination of Hines and Goldstein. .,
`
`
`i 21
`The combination of Hines and Premachandraiijwm
`
`21
`
`The combination of Hines and Coffer.
`
`
`
`MIT901_2005—001 3
`
`
`
`
`MIT901_2005-0013
`
`

`

`
`
`
`
`
`1-20
`Kuno.
`
`
`7, 8, 10, and 11
`The combination of Kuno and Murray.
`
`
`21
`The combination of Kuno and Premachandran.
`
`
`21
`The combination of Kuno and Coffer.
`
`
`
`
`
`
`1—20 and 22—31
`
`A73
`”The combination of Danek and Murray.
`
`"21
`__ “W T K
`"—
`The combination of Danek and Premachandran.
`
`
`y, 21
`uuuuuuuuT The combination of Danek and Coffer.
`
`1-20 and 22-31
`The combination of Kortan and Murray.
`
`21
`The combination of Kortan, Murray and Premaehandran.
`j
`
`The combination of Kortan, Murray and Coffer.
`21
`
`
`II.
`
`Real Party in Interest
`
`Nanoco Technologies Ltd. is the real party-in-interest in this inter partes reexamination.
`
`III.
`
`Summary of the Request
`
`The ‘901 Patent claims coated nanocrystals capable of light emission. The claimed
`
`nanocrystal compositions have a core nanocrystal of a first semiconductor material and an
`
`overcoating of a second semiconductor material. The core nanocrystals are purported to be
`
`members of a monodisperse particle population, meaning that the distribution of particle sizes
`
`within the population is narrow.
`
`Everything claimed in the ‘901 Patent was already known or was obvious to one of
`
`ordinary skill in the art at the time the application leading to the ‘90] Patent was filed. The prior
`
`MIT901_2005—0014
`
`MIT901_2005-0014
`
`

`

`
`
`
`
`art references discussed below either anticipate or render obvious (either alone or in combination
`
`with other references) each of the claims of the ‘901 Patent.
`
`A.
`
`Prior Art
`
`This section provides a brief overview of the most important references relied on to
`
`support petitioner’s allegations of a substantial new question of patentability. This section is not
`
`intended to be an exhaustive description of each of the references. Section V below provides a
`
`detailed explanation of the pertinence of the prior art references to each of the claims. Section V
`
`below also mentions additional secondary references that show aspects of particular claims.
`
`These secondary references are not discussed in this section.
`
`1.
`
`Hines
`
`A publication by Margaret Hines and Philippe Guyot—Sionnest, “Synthesis and
`
`Characterization of Strongly Luminescing ZnS-Capped CdSe Nanocrystals,” Journal ofPhysical
`
`Chemistry, l996, 100, 468471 (“Hines”) (Exhibit 2) is directed to ZnS-Capped CdSe
`
`Nanocrystals. Hines is 102(b) prior art to the ‘901 Patent. Hines was disclosed to the patent
`
`office in an information Disclosure Statement during the prosecution of the ‘901 Patent, but was
`
`never cited in an Office Action. The Hines abstract states:
`
`We
`
`describe
`
`the
`
`synthesis
`
`of ZnS—capped CdSe
`
`semiconductor nanocrystals using organometallic reagents by a
`
`two—step single-flask method. X-ray photoelectron spectroscopy,
`
`transmission electron microscopy and optical absorption are
`
`consistent with
`nanocrystals
`containing a
`core of nearly
`monodisperse CdSe of 27— 30 A diameter with a ZnS capping 6 i 3
`A thick. The ZnS capping with a higher bandgap than CdSe
`
`passivates the core crystallite removing the surface traps. The
`
`nanocrystals exhibit strong and stable band-edge luminescence
`
`with a 50% quantum yield at room temperature.
`
`b)
`
`MIT901_2005—001 5
`
`MIT901_2005-0015
`
`

`

`
`
`
`
`The ‘901 specification mentions Hines, admitting that it reports the preparation of ZnS-
`
`capped CdSe nanocrystallites exhibiting improved luminescence quantum yields of up to 50 0/6.
`
`‘901 Patent, col. 2, lines 15—26. However, the ‘901 specification states:
`
`[T]he quality of the emitted light remained unacceptable because
`
`of the large size distribution (12-15% rms) of the core of the
`
`resulting capped nanocrystallites. The large size distribution
`
`resulted in light emission over a wide spectral range. In addition,
`
`the reported preparation method does not allow control of the
`
`particle size obtained from the process and hence does not allow
`control of color.
`
`Id. The ‘901 specification does not state how Applicants concluded that the CdSe cores
`
`described in Hines have 12—15 % rms size distribution and Hines does not state this.
`
`Instead,
`
`Hines specifically states that the cores described therein are “monodisperse,” as that term is used
`
`in the ‘901 Patent, having 27—30 A diameter. ' See