UNITED STATES PATENT AND TRADEMARK OFFICE
`
`________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`________________________
`
`NANOCO TECHNOLOGIES, LTD.
`Petitioners
`
`v.
`
`MASSACHUSETTS INSTITUTE OF TECHNOLOGY
`
`Patent Owner
`
`________________________
`
`DECLARATION OF MARGARET A. HINES
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 6,501,091
`
`1 of 30
`
`Nanoco Technologies, Ltd
`EXHIBIT 1003
`
`

`
`I, Margaret A. Hines, declare:
`
`Background and Qualifications
`
`1.
`
`I am over 21 years of age. Counsel for Petitioner has asked me to
`
`review documents relating to the Petition for Inter Partes Review of U.S. Patent
`
`No. 6,501,091 (“the ‘091 Patent”) and to provide my opinions regarding technical
`
`information in those documents.
`
`2.
`
`I am employed by Nanoco Technologies, Ltd., Petitioner and Real
`
`Party in Interest in this proceeding, as a technical business development director.
`
`3.
`
`From October 1992 to March 1998, I was a graduate student in the
`
`department of Chemistry at the University of Chicago, Chicago, Illinois. I
`
`graduated with a Ph.D. in chemistry in 1998.
`
`4. While in graduate school at the University of Chicago, I was the lead
`
`author of the peer-reviewed research paper, “Synthesis and Characterization of
`
`Strongly Luminescing ZnS-Capped CdSe Nanocrystals,” J. Phys. Chem. 1996,
`
`100, 468-471, referred to as “Hines” in the reexamination materials. Since that
`
`time I have continued to work in the area of quantum dot nanocrystals and other
`
`nanomaterials. A copy of my resume and a list of my publications is attached to
`
`this declaration as Appendix A.
`
`5.
`
`I have reviewed the following materials:
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`Material
`
`Petition Exh.
`
`U.S. Patent No. 6,501,091 (“the ‘901 Patent”).
`
`U.S. Patent No. 5,847,507 (“Butterworth”).
`
`U.S. Patent No.5,422,489 (“Bhargava”).
`
`The prosecution file history pertaining to Application Serial
`No. 09/167,795.
`
`Bhargava, et al., “Doped nanocrystals of semiconductors – a
`new class of luminescent materials,” J. Lum. 60 & 61 (1994)
`275-280 (“Bhargava II”).
`
`International Application Publication WO 96/10282 (“Burt”).
`
`U.S. Patent No. 5,882,779 (“Lawandy”).
`
`U.S. Patent No. 5,998,925 (“Shimizu).
`
`U.S. Patent No. 5,260,957 (“Hakimi”).
`
`U.S. Patent No. 6,600,175 (“Baretz”).
`
`U.S. Patent No. 5,813,753 (“Vriens”).
`
`U.S. Patent No. 6,322,901 (“Bawendi”).
`
`Hines et al., “Synthesis and Characterization of Strongly
`Luminescing ZnS-Capped CdSe Nanocrystals,” J. Phys. Chem.
`100 (1996), 468-471 (“Hines”).
`
`Fogg, et al., “Fabrication of Quantum Dot/Polymer
`Composites: Semiconductor Nanoclusters in Dual-Function
`Polymer Matrices with Electron-Transporting and Cluster-
`Passivating Properties,” Macromolecules, 30 (1997), 8433-
`8439 (“Fogg ”).
`
`1001
`
`1002
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
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`3 of 30
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`Dabbousi, et al. “(CdSe)ZnS Core-Shell Quantum Dots:
`Synthesis and Characterization of a Size Series of Highly
`Luminescent Nanocrystallites,” J. Phys. Chem. B 101 (1997)
`9463-9475 (“Dabbousi”).
`
`1016
`
`Petition for Inter partes Review of U.S. Patent No. 6,322,901.
`
`1017
`
`Fogg, et al., “Fabrication of Quantum Dot/Polymer
`Composites: Phosphine-Functionalized Block Copolymers as
`Passivating Hosts for Cadmium Selenide Nanoclusters,”
`Macromolecules, 30 (1997), 417-426 (“Fogg II”) (Published
`January 13, 1997, as per publication data available from
`http://pubs.acs.org/toc/mamobx/30/1).
`
`1018
`
`Decision on Appeal in Reexamination Control No. 95/001,268,
`Appeal 2013-000713, May 31, 2013 (PTAB).
`
`1019
`
`Murray, et al., “Synthesis and Characterization of Nearly
`Monodisperse CdE (E = S, Se Te) Semiconductor
`Nanocrystallites,” J. Am. Chem. Soc. 115 (1993) 8706-8715
`(“Murray”).
`
`6.
`
`I am informed that certain determinations are to be analyzed from the
`
`perspective of a “person of ordinary skill in the art” (POSITA) who would have
`
`been involved with the technology at issue at the time of the claimed invention,
`
`which I have been informed is April 1, 1998. I have been informed that a POSITA
`
`is a hypothetical person who is presumed to be aware of all pertinent art, thinks
`
`along conventional wisdom in the art, and is a person of ordinary creativity. Based
`
`on my review of the documents listed above, as well as my own experience in the
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`technical field, I believe that a person of ordinary skill in the art would have a high
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`degree of understanding of chemistry and/or material science, particularly
`
`inorganic chemistry. Such a person would likely have an advanced degree
`
`(Masters or Ph.D.) in one of those disciplines or would have been working toward
`
`such a degree. Based on my education and experience, I have an understanding of
`
`the capabilities of a POSITA in the field of the subject matter of the ‘091 Patent.
`
`Quantum Dot Basics
`
`7.
`
`I have read the ‘091 Patent and understand that patent to be directed to
`
`light emitting diodes (LEDs) that incorporate quantum dots (QDs). QDs are
`
`nanocrystallites of semiconductor material, such as CdSe. See, e.g., the ‘091
`
`Patent, col. 2, ll. 4-17. QDs are capable of absorbing and emitting light. For
`
`example, the Background of the ‘091 Patent states:
`
`Quantum confinement of both the electron and hole in all
`three dimensions leads to an increase in the effective
`band gap of the material with decreasing crystallite size.
`Consequently, both the optical absorption and emission
`of quantum dots shift to the blue (higher energies) as the
`size of the dots gets smaller.
`
`The ‘091 Patent, col. 2, ll. 9-17. That discussion has to do with how QDs absorb
`
`and emit light, as explained below.
`
`8.
`
`The ability of QDs to absorb light at a first wavelength and emit light
`
`at a second wavelength, a phenomena known as photoluminescence, is a well-
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`known property of QDs, such as CdSe QDs. QD photoluminescence was known
`
`prior to 1998. For example, I am a co-author of a paper that was published in 1996
`
`that describes studies of the photoluminescence of QDs. That paper is entitled
`
`“Synthesis and Characterization of Strongly Luminescing ZnS-Capped CdSe
`
`Nanocrystals,” J. Phys. Chem. 100 (1996), 468-471 (referred to as “Hines”) and is
`
`included as Exh. 1014 to the Petition.
`
`9.
`
`As stated in the quote from the ‘091 Patent above, the color of light
`
`that a QD absorbs and the color of light that it emits is related to a property of the
`
`QD referred to as the band gap. The band gap and band structure has to do with
`
`the energy states that electrons are allowed to occupy within the QD.
`
`10.
`
`The drawing below illustrates the band structure of two QDs. The
`
`band structure on the right corresponds to a smaller QD than does the band
`
`structure on the left. As stated in the ‘091 Patent, the band gap (i.e., the separation
`
`between the valence band and the conduction band) increases as the size of the QD
`
`decreases. Exh. 1001, col. 2, ll. 9-11.
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`Larger Diameter QD
`
`Smaller Diameter QD
`
`Referring to the band structure on the left, when the QD absorbs a photon of light
`
`having an energy Eabsorption = ha1 (where h is Planck’s constant (4.14 x 10-15 eVs)
`
`and a1is the frequency of the absorbed light measured in s-1) an electron within
`
`the valence band is excited into the conduction band. The electron then typically
`
`relaxes to a lower energy electronic state within the conduction band via processes
`
`known as non-radiative processes (illustrated by the squiggly line). When the
`
`electron relaxes from the conduction band to the valence band, the QD emits light
`
`having an energy Eemission = he1. The emission energy Eemission is correlates to the
`
`energy of the band gap of the QD. The energy of the emitted light Eemission is less
`
`than (or equal to) the energy of the absorbed light Eabsorption. That is illustrated in
`
`the drawing by showing the arrow associated with Eemission as smaller than the
`
`arrow associated with Eabsorption. Stated differently, the band gap energy is less than
`
`the energy of the absorbed light. If the energy of the incident light (i.e., the light to
`
`be absorbed) was not higher than the band gap of the QD, then the QD would not
`
`be capable of absorbing the incident light. Likewise the frequency of the emitted
`
`light e1 is less than the frequency of the absorbed light a1.
`
`11.
`
`The energies discussed above relate to the color of light that a QD
`
`absorbs and emits. Visible light is simply the portion of the electromagnetic
`
`spectrum that can be detected by the human eye. Light can be discussed in terms
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`of its energy, wavelength, and/or frequency, which are all interrelated properties.
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`The wavelength () of light is related to the light’s frequency by the formula  =
`
`c/, where c is the speed of light in a vacuum (3 x 108 m/s). The energy (E) of
`
`light is related to the frequency (of the light by the equation E = h(where h is
`
`Planck’s constant). Thus, the following equations relate the energy, frequency and
`
`wavelength of light: E = h = hc/. The perceived color of light depends on the
`
`light’s wavelength (which is also related to its frequency by  = c/ and to its
`
`energy by E = h = hc/. Light with higher energy (smaller wavelength) is
`
`perceived as light toward the blue end of the spectrum and lower energy (larger
`
`wavelength) light is perceived as light toward the red end of the spectrum. The
`
`color/wavelength/frequency relationship is illustrated in the following table:
`
`Color Wavelength (nm)
`
`Frequency (x1012 s-1)
`
`Energy (eV)
`
`Violet
`
`380-450
`
`Blue
`
`450-495
`
`Green
`
`495-570
`
`Yellow 570-590
`
`Orange
`
`590-620
`
`Red
`
`620-750
`
`668-789
`
`606-668
`
`526-606
`
`508-526
`
`484-508
`
`400-484
`
`2.75-3.26
`
`2.50-2.75
`
`2.17-2.5
`
`2.10-2.17
`
`2.00-2.10
`
`1.60-2.00
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`12. Referring again to the band structures illustrated above, the emission
`
`energy Eemission is always smaller than the absorption energy Eabsorption. Another way
`
`of stating this is that the QD emits light that is shifted to the red end of the
`
`spectrum (i.e., it is red-shifted) compared to the light that is absorbed by the QD.
`
`This property of absorbing light of a shorter wavelength (higher energy) and re-
`
`emitting light of a longer wavelength (lower energy) is called down-converting.
`
`Conventional phosphors also down-convert light but in a different way from QDs.
`
`13. As shown by the band structures illustrated above, a larger QD has a
`
`smaller band gap than a smaller QD. A larger QD can absorb light with a smaller
`
`energy than a smaller QD. Stated differently, Eabsorption1 can be less than Eabsorption2.
`
`Likewise, a larger QD emits light with a lower energy than a smaller QD. In other
`
`words, Eemission1 is less than Eemission2. The differences in the energy of the light
`
`absorbed and emitted by the different sizes of QDs is a consequence of the band
`
`gap of the QD material increasing as the size of the QD decreases, as stated in the
`
`‘091 Patent.
`
`14. Because of the size-dependent variation of the band gap of QDs,
`
`smaller QDs absorb and emit light more toward the blue end of the spectrum than
`
`do larger QDs. Thus, the color of light emitted by a QD can be “tuned” by
`
`choosing QDs of a particular size. That relationship of QD size to QD color
`
`emission was known before the ‘091 Patent was filed as shown by the Background
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`discussion in the ‘091 Patent and my paper published in 1996. See paras. 7 and 8
`
`above. Moreover, QDs of different sizes (and consequently, different emission
`
`colors) can be combined so that their emission colors add together to produce a
`
`third color. For example, blue emission and yellow emission can combine to make
`
`green. QDs can be combined in the same formulation or they can be combined as
`
`different components of a structure in a way that their emission colors blend. For
`
`example, a structure having a blue primary light source can be combined with a
`
`film containing red-emitting QDs and a second film containing green-emitting
`
`QDs so that the combination of the blue (primary) + green (emission) + red
`
`(emission) light all adds together to yield white light.
`
`Host Matrix
`
`15.
`
`I have read the definition of the term “colloidal state” in See van
`
`Norstrand’s Scientific Encyclopedia (see Exhibit B).
`
`I agree that it provides the
`
`commonly understood definition of colloid.
`
`I agree that a POSITA would
`
`understand the plain and ordinary meaning of the term “colloid” is a mixture of
`
`substances, one substance being uniformly distributed in a finely divided state
`
`within the other substance. I have also reviewed the discussion in the ‘091 Patent
`
`referring to the term “host matrix,” which the ‘091 Patent uses to refer to “any
`
`material in which quantum dots may be dispersed in a configuration in which they
`
`may be illuminated by the primary light source.” Col. 3, ll. 11-13. Since the ‘091
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`Patent refers to “any material,” a POSITA would understand the term “host
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`matrix” to encompass solids, liquids, or gasses, as long as those specific materials
`
`are able to disperse QDs.1
`
`Substantially Uniform Surface Energy
`
`16. Certain claims of the ‘091 Patent refer to QDs having a “substantially
`
`uniform surface energy.” See, e.g., claim 12 of the ‘091 Patent. Without more,
`
`that phrase does not inform a POSITA as to which QDs would meet that
`
`description and which would not. Turning to the specification, the only discussion
`
`of uniform surface energy within the ‘091 Patent occurs in the following text:
`
`As used herein, the phrase "colloidally grown" quantum
`dots refers to dots which have been produced by
`precipitation and/or growth from a solution. A distinction
`between these dots and quantum dots epitaxially grown
`on a substrate is that colloidally grown dots have a
`substantially uniform surface energy, while epitaxially
`grown dots usually have different surface energies on the
`face in contact with the substrate and on the remainder of
`the dot surface.
`
`Quoted from col. 4, ll. 14-22 (emphasis added). From that text, a POSITA would
`
`understand that the broadest reasonable construction of QDs having “substantially
`
`1 I have been informed that the “broadest reasonable construction” is the standard
`to be applied when interpreting the claims and terms of the ‘091 Patent in this
`proceeding. I understand the “broadest reasonable construction” is understood in
`view of the specification from the perspective of a POSITA as of the earliest
`priority date of the patent.
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`uniform surface energy” refers to any QDs produced by precipitation and/or
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`growth from a solution.
`
`Bhargava
`
`17. I have reviewed the patent referred to as Bhargava. Bhargava states that
`
`films of the nanocrystals can be applied to glass or plastic using an index matching
`
`polymer or matrix. Bhargava, col. 3, ll. 44-51. Bhargava also states that the
`
`nanocrystals are coated with a surfactant (methacrylic acid) that provides a barrier
`
`to particle contact. Bhargava, col. 5, ll. 55-58. A POSITA would know that
`
`methacrylic acid surfactant is polymerizable, and when polymerized, forms a non-
`
`conductive polymer.
`
`18. Bhargava refers to additional publications for further information
`
`about how to make and use the nanoparticles. Bhargava, col. 5, ll. 61-64. One of
`
`those publications is Bhargava II, which provides more details about the synthesis
`
`of the QDs described in Bhargava and how those QDs are incorporated into a
`
`polymer matrix. Bhargava, col. 3, ll. 9-11. Bhargava II states that the ZnS QDs are
`
`prepared by reacting diethylzinc with hydrogen sulfide in toluene to form ZnS.
`
`Bhargava II, p. 275, col. 2. Bhargava II further states:
`
`To dope the ZnS, manganese chloride is reacted with
`ethylmagnesium chloride to form diethylmanganese in
`tetrahydrofuran solvent and added to the reaction. The
`separation of the particles is maintained by coating with
`the surfactant methacrylic acid. In the coated ZnS:Mn
`particle system we observe a gradual but significant
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`increase in the luminescent intensity of Mn2+ emission
`when exposed to exciting 300 nm UV light (UV-curing).
`The pholuminescent efficiency in UV-cured 27 - 33 size
`(diameter) ZnS:Mn nonocrstalline powder is about 18 %.
`Our hypothesis is that this enhancement in efficiency
`results from the passivation of surface of the ZnS:Mn
`nanocrystals and is related to the photopolymerization of
`the surfactant.
`
`Bhargava II, p. 276, col. 1.
`
`18. A POSITA would understand from the description of the QD
`
`synthesis in Bhargava II that the QDs described in Bhargava/Bhargava II are
`
`produced by precipitation and/or growth from a solution instead of being grown on
`
`a surface. A POSITA would therefore understand those QDs to have a
`
`substantially uniform surface energy, as explained above.
`
`19. A POSITA would also understand from Bhargava II that the QDs of
`
`Bhargava/Bhargava II are surface-coated with methacrylic acid that
`
`is then
`
`polymerized to form a polymer matrix incorporating the QDs via the surface-
`
`bound monomers.
`
`20. A POSITA would be motivated to refer to Bhargava II for information
`
`about how to make a polymer matrix incorporating ZnS:Mn QDs because
`
`Bhargava itself refers the reader to Bhargava II. Bhargava, col 5, ll. 41-42.
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`Burt
`
`21. I have reviewed the paper referred to in the Petition as Burt. Burt
`
`describes a waveguide with an active medium comprising colloidal QDs. Burt,
`
`Abstract. The Burt abstract further states that the QDs luminesce in response to
`
`input optical radiation. Id. Burt states that light with a wavelength of 1.06 m is
`
`fed into the colloidal QDs. Burt, p. 6, ll. 28. As explained above, the wavelength,
`
`energy, and frequency of light are all interrelated. Wavelength can be converted to
`
`energy using the formula: E = hc/where h = 4.14 x 10-15 eVs and c = 3 x 108
`
`m/s. The energy of the light source is thus, E = (4.14 x 10-15 eVs)(3 x 108 m/s) /
`
`(1.06 x 10-6 m) = 1.17 eV. Burt further states that the QDs have band gaps of 0.8–
`
`1.0 eV. Burt, p. 6, ll. 25-30. Thus, the band gaps of the QDs are smaller than the
`
`1.17 eV energy of the light source.
`
`22. Burt refers to QDs that are prepared by precipitation from solution.
`
`See Burt, p. 4, ll. 3-21 and p. 7, ll. 4-20. A POSITA would therefore understand
`
`those QDs to have a substantially uniform surface energy, as that term is used in
`
`the ‘091 Patent.
`
`Lawandy
`
`23.
`
`I have reviewed the reference referred to in the Petition as Lawandy.
`
`Lawandy is directed to using QD nanocrystals to replace conventional phosphors
`
`in televisions, monitors, and displays. Lawandy, Abstract. Lawandy states that
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`conventional phosphor-type deposition methods can be employed for coating QDs
`
`onto a surface. Lawandy, col. 4, ll. 62-64. A POSITA wishing to coat a surface
`
`with a film containing QDs would be motivated by that statement to review
`
`literature directed to conventional phosphors to determine how to make such
`
`coatings.
`
`Shimizu
`
`24.
`
`I have reviewed the reference referred to in the Petition as Shimizu.
`
`Shimizu is directed to LEDs coated with a phosphor-containing resin. Shimizu, 8:
`
`31-40. Exemplary phosphors are YAG fluorescent materials chosen to emit light
`
`of particular wavelengths. Id., 5: 48- 6: 12. Shimizu is an example of the type of
`
`“conventional phosphor-type deposition” reference that a POSITA would turn to
`
`for information about how to deposit QD phosphors on a surface, based on the
`
`guidance of Lawandy.
`
`Hakimi
`
`25.
`
`I have reviewed the reference referred to in the Petition as Hakimi.
`
`Hakimi states that CdSe, ZnTe, ZnSe, and CdTe quantum dots can be used.
`
`Hakimi, claims 13-16. Without more information, a POSITA would assume that
`
`those QDs are not doped since Hakimi does not mention doping and the mentioned
`
`types of QDs are commonly used without doping.
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`“The Conventional Phosphor References”
`
`26.
`
`I have reviewed the references referred to in the Petition as
`
`Butterworth, Shimizu, Baretz, and Vriens, which are collectively referred to as the
`
`conventional phosphor references. The conventional phosphor references are each
`
`directed to using conventional phosphors to down-convert light from a primary
`
`light source to light of a longer wavelength. As I stated above, Lawandy
`
`specifically directs the reader to conventional-type phosphor references for
`
`information concerning how to apply QD phosphors to a surface for down-
`
`converting light. A POSITA would be motivated to substitute QDs for
`
`conventional phosphors because QDs are capable of down-converting light. QDs
`
`have the advantage that the color of the emitted light can be controlled as a
`
`function of the size of the QD. The “color tunability” makes QDs a very attractive
`
`alternative to conventional phosphors. As I stated above, that “color tunability”
`
`was recognized well before 1998. A POSITA would understand that QDs (or
`
`conventional phosphors) can down-convert light from any type of primary light
`
`source, as long as the light from the primary light source has the correct
`
`wavelengths for the QD (or conventional phosphor) to absorb. For example, the
`
`light source can be an LED, an incandescent light source, a fluorescent light
`
`source, or the like. For example, a POSITA might wish to down-convert light
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`from either an LED or a fluorescent light source to increase the warmth of the light
`
`from primary light source.
`
`27.
`
`Shimizu further teaches using a mixture of two different conventional
`
`phosphors to achieve desired light colors. The two or more kinds of phosphors are
`
`incorporated into
`
`the Shimizu device, either as a mixture, or arranged
`
`independently. Shimizu, col. 19, ll. 30-33. By using mixtures of phosphors, the
`
`color of the light output from the Shimizu device can be controlled. Shimizu, col.
`
`19, l. 30- col. 20, l. 3.
`
`28.
`
`Substituting QDs for the conventional phosphors of Shimizu has the
`
`advantage that different color-emitting QD phosphors can be selected by simply
`
`selecting QDs of different sizes. With the conventional phosphors used in
`
`Shimizu, each different color of phosphor must have a different chemical
`
`composition. A POSITA would recognize the advantage of using mixtures of
`
`different sizes of QDs and would be motivated to provide mixtures of QDs having
`
`different sizes for color tuning.
`
`Fogg
`
`29.
`
`I have reviewed the reference referred to in the Petition as Fogg.
`
`Fogg is directed to the incorporation of CdSe into copolymer matrices of
`
`phosphine- or phosphine oxide-functionalized polynorborene. Fogg, Abstract and
`
`entirety of Fogg. The Fogg QDs are prepared by pyrolysis of dimethylcadmium
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`and selenium trictylphosphine. Fogg, p. 418. A POSITA would understand that
`
`this method is a colloidal synthesis and, therefore, provides QDs having
`
`substantially uniform surface energy, as explained above.
`
`30.
`
`The copolymers used in Fogg are copolymer matrices of phosphine-
`
`or phosphine oxide-functionalized polynorbornene. They are not conductive; they
`
`lack the charge transport capabilities of the polymers described in Fogg II.
`
`31.
`
`I have read the paper referred to as Fogg II. Fogg II uses ZnS-
`
`overcoated CdSe QDs, whereas the Fogg CdSe QDs are not overcoated. Fogg II
`
`states that the ZnS-overcoated CdSe QDs have a much greater quantum yield (QY)
`
`than the bare CdSe QDs. Fogg II, p. 8434, col. 1. The QY is the ratio of the
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`number of photons the QD emits compared to the number of photons the QD
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`absorbs. Stated more simply, a QD with a higher QY emits brighter than a QD
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`with a lower QY. A POSITA would understand that QDs with a high QY are
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`desirable for most optical applications and would therefore be motivated to use the
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`ZnS-overcoated CdSe QDs of Fogg II in place of the bare QDs of Fogg.
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`Hines
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`32.
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`I have read the paper referred to as Hines. I am a co-author of that
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`paper. Hines teaches dispersions of QDs dispersed in solvents, such as TOP,
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`chloroform, and pyridine. Those materials are each a nonconductive matrix.
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`33.
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`All statements made herein of my knowledge are true and all
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`statements made on information and belief are believed to be true; and further
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`these statements were made with the knowledge
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`that willful false statements and
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`the like so made are punishable by fine or imprisonment,
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`or both, under Section
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`1001 of Title 18 of the United States Code.
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`Date: January 5, 2015
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`APPENDIX A
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`APPENDIX A
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`Location: San Jose, CA / Phone: 815.325.7878 / Email: mahines01@gmail.com
`MARGARET (PEGGY) A. HINES, PH.D.
`PROFILE
` Creative problem solver and enthusiastic self‐starter with supervisory, project management,
`and hands‐on technical experience.
` Technology forerunner with 20 years of experience in nanotechnology and advanced
`materials.
` Team leader managing semiconductor nanomaterials development and commercialization
`in photovoltaics, LEDs, and life sciences products.
` Innovator with hands on technical experience in materials synthesis and characterization,
`colloids, semiconductors, thin films, polymers, composites, emulsions, inks, printing, surface
`chemistry, self‐assembly, analytical chemistry, spectroscopy, and electron microscopy.
` Extensive experience with start‐up companies and technology development, strategy
`planning, and plotting roadmaps.
` Member of the judging panel for the first two Nano‐Entrepreneurship‐Academies (NEnA) in
`Germany. Organized internships for eight international students.
` Strong communicator. Author of 26 publications. Inventor on nine patents/applications.
`organizer at 2007 MRS Spring Meeting.
`Presenter of three invited talks. Chairman of 'Quantum Dots 2007' Conference. Symposium
`TECHNICAL BUSINESS DEVELOPMENT DIRECTOR / Nanoco Technologies LLC / Manchester UK /
`2013‐present
` Provide technical guidance and customer support to product developers to facilitate
`integration of Nanoco's CFQD® quantum dots into display, lighting, and life science
`applications.
` Explore and cultivate new product development and business opportunities for Nanoco.
` Present CFQD® quantum dots and technology at conferences and trade shows.
`DIRECTOR, RESEARCH AND DEVELOPMENT / Solexant Corp. / San Jose, CA / 2008‐2012
` Built, developed, and lead team responsible for development and production of groups II‐VI,
`III‐V, IV‐VI, I‐III‐VI, and I‐II‐IV‐VI semiconductor nanoparticle inks for roll to roll printing of
`thin film solar cells.
` Up‐scaled 50X CdTe nanoparticle synthesis production process. Managed ink production,
`QC/QA, and supply to pilot manufacturing line with 24/7 operation.
` Devised novel purification for colloidal nanoparticles resulting in a five‐fold reduction in
`processing time and ready scalability for large volume manufacturing.
`towards high-efficiency (>20%) low-cost (<$0.50/W) thin film solar panels.
`Identified raw material impurities and impact on processing. Set specifications and
`established QC/QA of specialty chemical raw materials. Cultivated supplier relationships.
` Planned 5000X scale‐up of ink production process and facility for 100 MW solar
`manufacturing plant.
` Generated cost models of nanoparticle ink portion of thin film solar panel
`
` Developed route for synthesizing GaAs nanoparticles and printing thin films in an approach
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`PROFESSIONAL HISTORY
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`commercialization. Defined and undertook cost reduction development plans to enable
`financial viability.
`MANAGER, R&D (2004‐2008) / SR. SCIENTIST (2003‐2004) / Evident Technologies, Inc. / Troy,
`NY
` Directed and managed team of three Ph.D. researchers and four B.S. chemists in the
`development and production of groups II‐VI, IV‐VI, III‐V, I‐III‐VI semiconductor quantum
`dots with optical properties spanning ultraviolet thru mid‐infrared.
`Increased brightness and stability of CdSe/ZnS core‐shell nanocrystals and established
`QC/QA enabling commercialization in first consumer quantum dot product, Dotstrands.
` Up‐scaled 1000X PbS semiconductor nanocrystal production process.
` Researched projects in areas of solar cells, thermoelectrics, solid state lighting, inks and
`security markings, night vision and combat ID.
` Refined colloid surface treatments for enhanced luminescence or charge‐injection, physical
`and photo‐stability, extended shelf‐life, and improved solubility in organic media, aqueous
`solutions, and polymer composites.
` Worked with customers, industrial partners, and academic researchers to incorporate
`nanoparticles into applications including composite thin films, electroluminescent devices,
`biological fluorescence labeling, non‐linear spectroscopy, and microscopy.
`Involved in strategy planning, business development, and defining technology roadmaps.
` Worked jointly with marketing to generate product literature for commercial launch of
`nanomaterials. Interfaced with sales providing technical customer support.
`RESEARCH ASSOCIATE / University of Toronto, Depts of Chemistry and ECE / Toronto, ON / 2001‐2003
` Developed patented synthesis of near‐infrared emitting nanocrystals. Collaborative projects
`included electroluminescent devices, photonic band gap materials, self‐assembly in
`mesostructured silica, non‐linear spectroscopy, and biological fluorescence labeling.
`TECHNICAL CONSULTANT / SDR Pharmaceuticals / Andover, NJ / 2000‐2001
` Project managed OTC drug product development integrating new technology assessment,
`product concept and feasibility, strategic planning, formulation, stability testing, packaging,
`clinical studies, production, and distribution. Worked with contract manufacturer
`developing formulation for Lactrex.
`SENIOR DEVELOPMENT CHEMIST / Revlon Research Center / Edison, NJ / 1998‐2000
`Integrated next generation technology into product pipeline. Sought out and evaluated new
`raw materials. Developed formulations incorporating these materials for enhanced
`performance in color cosmetics. Formulated Revlon ColorStay LipShine top coat.
`RESEARCH ASSISTANT / University of Chicago / Chicago, IL / 1993‐1998
` Pioneered cutting edge synthesis program. Developed synthetic route for production of
`core/shell heterostructured semiconductor nanocrystals with enhanced fluorescence and
`biotechnology and optoelectronics.
`stability adopted by researchers worldwide and commercialized for applications in
`Ph.D. (1998) and M.S. (1993) in Chemistry, University of Chicago / Chicago, IL
`B.S. in Chemistry and B.A. in Physics (1992), magna cum laude, College of Charleston / Charleston, SC
`
`EDUCATION
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`List of Publications – Margaret A. Hines
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`T. Mirkovic, M. A. Hines, P. S. Nair, G. D. Scholes. “Single-source precursor route for the
`synthesis of EuS nanocrystals.” Chemistry of Materials, 17, 3451 (2005).
`
`V. Kovalevskij, V. Gulbinas, A. Piskarskas, M. A. Hines, G. D. Scholes. “Surface Passivation in
`CdSe nanocrystal-polymer films revealed by ultrafast excitation relaxation dynamics.” Physica
`Status Solidi B – Basic Research, 241, 1986 (2004).
`
`T. W. F. Chang, S. Musikhin, L. Bakueva, L. Levina, M. A. Hines, P. W. Cyr, E. H. Sargent.
`“Efficient excitation transfer from polymer to nanocrystals.” Applied Physics Letters, 84, 4295
`(2004).
`
`M. A. Hines, G. D. Scholes. “Colloidal PbS Nanocrystals with Size-Tunable NIR Emission:
`Observation of Post-Synthesis Self-Narrowing of the Particle Size Distribution.” Advanced
`Materials, 15, 1844 (2003).
`
`P. W. Cyr, M. Tzolov, M. A. Hines, I. Manners, E. H. Sargent, G. D. Scholes. “Quantum dots in
`a metallopolymer host: studies of composites of polyferrocenes and CdSe nanocrystals.” Journal
`of Materials Chemistry, 13, 2213 (2003).
`
`L. Bakueva, S. Musikhin, M. A. Hines, T.-W. F. Chang, M. Tzolov, G. D. Scholes, E. H.
`Sargent. “Size-Tunable Infrared (1000 - 1600 nm) Electroluminescence from PbS Quantum Dot
`Nanocrystals in a Semiconducting Polymer.” Applied Physics Letters 82, 2895 (2003).
`
`M. R. Salvador, M. A. Hines, G. D. Scholes. “Exciton-bath Coupling and Inhomogeneous
`Broadening in the Optical Spectroscopy of Semiconductor Quantum Dots.” Journal of Chemical
`Physics, 118, 9380 (2003).
`
`G. D. Scholes, M. A. Hines, M. Salvadore. “Coulomb corrrelations, spectral line shapes, and
`size distributions of CdSe colloidal nanocrystals.” Trends in Optics and Photonics, 72, 253
`(2002).
`
`Y. C. Tseng, M. Tzolov, E. H. Sargent, P. W. Cyr, M. A. Hines. “Control over exciton
`confinement versus separation in composite films of polyfluorene and CdSe nanocrystals.”
`Applied Physics Letters, 81, 3446 (2002).
`
`P. Guyot-Sionnest, M. S. Shim, C. Matranga, and M. A. Hines. “Intraband relaxation in CdSe
`quantum dots.” Physical Review B, 60, R2181 (1999).
`
`M. A. Hines and P. Guyot-Sionnest. “Bright UV/blue Luminescent Colloidal ZnSe
`Nanocrystals.” Journal of Physica