PTO/SB/05 (08-08)
`Approved for use through 06/30/2010. OMB 0651-0032
`U.S. Patent and Trademark Office. U.S. DEPARTMENT OF COMMERCE
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`I 0020-5147PUS5
`Attorney Docket No.
`I Yoshinori SHIMIZU
`First Inventor
`
`UTILITY
`PATENT APPLICATION
`TRANSMITTAL
`(ONLY FOR NEW NONPROVISIONAL APPL/CA TIONS UNDER
`37 CFR 1.53(8))
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`
`Title
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`Express Mail Label No. I
`
`Commissioner for Patents
`ADDRESS TO: P.O. Box 1450
`Alexandria, VA 22313-1450
`
`ACCOMPANYING APPLICATION PARTS
`
`9. D
`
`Assignment Papers (cover sheet & document(s))
`
`l
`
`l
`
`l
`
`1 o D
`·
`
`Name of Assignee
`
`l
`
`37 CFR 3.73(b) Statement DPowerof
`Attorney
`(when there is an assignee)
`
`11. D
`
`English Translation Document (if applicable)
`
`12. 0
`
`Information Disclosure Statement (PTO/SB/08 or PT0-1449)
`
`D Copies of citations attached
`13. D Preliminary Amendment
`14. D Return Receipt Postcard (MPEP 503)
`15. D Certified Copy of Priority Document(s)
`16. D Nonpublication Request under 35 U.S.C.122 (b)(2)(B)(i).
`
`(Should be specifically itemized)
`
`(if foreign priority is claimed)
`
`Applicant must attach form PTO/SB/35 or equivalent.
`
`17. 0other: Copy of letter submitting priority documents
`
`1. 0
`2. D
`
`3. 0
`
`Fee Transmittal Form (e.g., PTO/SB/17)
`
`Applicant claims small entity status.
`See 37 CFR 1.27.
`Specification
`(Total Pages
`Both the claims and abstract must start on a new page
`(For information on the preferred arrangement, see MPEP 608.01 (a))
`
`60
`
`5. Oath or Declaration
`
`[Total Sheets
`
`(Total Sheets
`
`19
`- - -
`2
`- - -
`
`4. 0 Drawing(s) (35 U.S. C. 113)
`a. D Newly executed (original or copy)
`b. 0 A copy from a prior application (37 CFR 1.63(d))
`i. D DELETION OF INVENTOR(Sl
`6. D Application Data Sheet. See 37 CFR 1. 76
`7. D CD-ROM or CD-R in duplicate, large table or
`D Landscape Table on CD
`
`(for continuation/divisional with Box 18 completed)
`
`Signed statement attached deleting inventor(s) name in the
`prior application, see 37 CFR 1.63(d)(2) and 1.33(b).
`
`Computer Program (Appendix)
`
`8. Nucleotide and/or Amino Acid Sequence Submission
`(if applicable, items a. - c. are required)
`
`b.
`
`Specification Sequence Listing on:
`
`a. D Computer Readable Form (CRF)
`i. D CD-ROM or CD-R (2 copies); or
`c. D Statements verifying identity of above copies
`
`ii. 0Paper
`
`18. If a CONTINUING APPLICATION, check appropriate box, and supply the requisite information below and in the first sentence of the
`specification following the title, or in an Application Data Sheet under 37 CFR 1. 76:
`
`D Continuation 0 Divisional D Continuation-in-part (CIP)
`of prior application No.:
`Abdulfattah B. Mustaeha
`19. CORRESPONDENCE ADDRESS
`
`Prior application information: Examiner
`
`0 The address associated with Customer Number: I
`
`. . . .... J?./Q?§,Q§? .
`2812
`
`Art Unit:
`
`02292
`
`I OR D
`
`Correspondence address below
`
`Name
`
`Address
`
`City
`
`Country
`
`Signature
`
`Name
`(PrinVType)
`
`I State I
`/ / I Telephone I
`//A
`Angre~Meikle
`
`I Email
`
`I
`
`Date
`
`I Zip Code I
`
`AUb Z 'I ZU09
`
`Registration No.
`(Attomev/AQent)
`
`32,868
`
`Birch, Stewart, Kolasch & Birch, LLP
`
`ADM/Ettlas
`
`Vizio EX1002 Page 0001
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Docket No.: 0020-5147PUS5
`(PATENT)
`
`In re Patent Application of:
`Y oshinori SHIMIZU et al.
`
`Application No.: NEW
`
`Filed:
`
`AUG 2 7 2009
`
`Confirmation No.: N/A
`
`Art Unit: N/A
`
`For: LIGHT EMITTING DEVICE AND DISPLAY
`
`Examiner: Not Yet Assigned
`
`INFORMATION DISCLOSURE STATEMENT
`(SUBMISSION WITH DIVISIONAL APPLICATION)
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`Pursuant to 37 C.F.R. §§ 1.97 and 1.98, applicant(s) hereby submit(s) an Information
`
`Disclosure Statement for consideration by the Examiner.
`
`I.
`
`LIST OF PATENTS, PUBLICATIONS OR OTHER INFORMATION
`
`The patents, publications, or other information submitted for consideration by the Office
`
`are listed on the PTO-SB08(s), attached hereto.
`
`COPIES
`
`II.
`D
`Copies of foreign patent documents and non-patent literature are included.
`
`a.
`
`Copies of cited U.S. patents and patent application publications are not included.
`
`b.
`
`D
`they were cited in the International Search Report and copies should already be in the PTO file.
`
`Some or all of the documents listed on the PTO-SB08 are not enclosed because
`
`If copies are needed, please contact the undersigned.
`
`Birch, Stewart, Kolasch & Birch, LLP
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0002
`
`

`

`Application No.:
`
`Docket No.: 0020-5147PUS5
`
`~ c.
`
`REFERENCES PREVIOUSLY CITED OR SUBMITTED - Pursuant to 37 C.F.R.
`
`§1.98(d), consideration of information listed on the PTO-SB08 form(s) is requested since
`
`any patents, publications, or other information which are listed on the PTO-SB08 form(s)
`
`but for which copies are not enclosed herewith, were previously cited by or submitted to
`
`the PTO in one of the following applications which has been relied upon for an earlier
`
`filing date under 35 U.S.C. § 120:
`
`U.S. Appl. No(s) and U.S. Filing Date
`
`12/028,062 filed February 8, 2008
`
`III.
`
`CONCISE EXPLANATION OF THE RELEVANCE
`
`(check at least one box)
`
`a.
`
`D
`publications, or other information listed on the attached PTO SB08 are in the English language
`
`DOCUMENTS IN THE ENGLISH LANGUAGE - Some or all of the patents,
`
`and therefore, do not require a statement of relevancy.
`
`b.
`
`D
`relevance of all patents, publications, or other information listed that is not in the English
`
`DOCUMENTS NOT IN THE ENGLISH LANGUAGE - A concise explanation of the
`
`language is as follows:
`
`c.
`
`D
`report or action that indicates the degree of relevance found by the foreign office is attached,
`
`ENGLISH LANGUAGE SEARCH REPORT- An English language version of the search
`
`thereby satisfying the requirement for a concise explanation. See MPEP 609(III)(A)(3).
`
`d.
`
`OTHER- The following additional information is provided for the Examiner's
`
`consideration. All references were cited during prosecution of parent Application No.
`
`12/028,062 filed February 8, 2008.
`
`FEES (check one box)
`
`IV.
`D
`of a new patent application; therefore, no fee is required.
`
`a.
`
`This Information Disclosure Statement is being filed concurrently with the filing
`
`2
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0003
`
`

`

`Application No.:
`
`Docket No.: 0020-5147PUS5
`
`b.
`filing of a continuation-in-part, continuation, or divisional patent application; therefore, no
`
`This Information Disclosure Statement is being filed concurrent with the
`
`fee is required.
`
`c.
`
`0
`filing date of a national application (37 C.P.R.§ 1.97(b)(l)). No fee or statement is required.
`
`This Information Disclosure Statement is being filed within three months of the
`
`d.
`
`D
`date of entry of the national stage as set forth in § 1.491 in an international application (3 7 C.F .R.
`
`This Information Disclosure Statement is being filed within three months of the
`
`§ 1.97(b)(2)). No fee or statement is required.
`
`e.
`
`0
`of a Request for Continued Examination under § 1.114 (37 C.P.R. § 1.97(b)(4)). No fee or
`
`This Information Disclosure Statement is being filed concurrently with the filing
`
`statement is required.
`
`f.
`
`0
`first Action on the merits (37 C.P.R. § 1.97(b)(3)). No fee or statement is required. In the event
`
`This Information Disclosure Statement is being filed before the mailing date of a
`
`that a first Office Action on the merits has been issued, please consider this IDS under 37 C.P.R.
`
`§ 1.97(c) and see the statement under 37 C.P.R. § 1.97(e) below, or, if no statement has been
`
`made, charge our deposit account for the fee as required by 3 7 C.F .R. § 1.17 (p ).
`
`g.
`
`0
`Final Office Action under 37 C.P.R. § 1.113 (See 37 C.P.R. § 1.97(c)(l)) or before the mailing
`
`This Information Disclosure Statement is being filed before the mailing date of a
`
`date of a Notice of Allowance under 37 C.P.R. § 1.311 (See 37 C.P.R. § 1.97(c)(2)).
`0
`
`No statement; therefore, a fee as required by 37 C.P.R.§ 1.17(p) is attached.
`
`or
`
`0
`
`See the statement below. No fee is required.
`
`V.
`
`STATEMENT UNDER 37 C.P.R. § 1.97(e)
`
`(check only one box)
`
`The undersigned hereby states that:
`
`3
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0004
`
`

`

`Application No.:
`
`Docket No.: 0020-5147PUS5
`
`a.
`
`D
`communication from a foreign Patent Office in a counterpart foreign application not more than
`
`Each item of information contained in the IDS was first cited in any
`
`30 days prior to the filing of this IDS; or
`
`b.
`
`D
`communication from a foreign Patent Office in a counterpart foreign application not more than
`
`Each item of information contained in the IDS was first cited in any
`
`three months prior to the filing ofthis IDS; or
`
`c.
`
`D
`foreign Patent Office in a counterpart foreign application, and, to the knowledge of the person
`
`No item of information contained in the IDS was cited in a communication from a
`
`signing the certification after making reasonable inquiry, no item of IDS was known to any
`
`individual designated in 37 C.F.R. § 1.56(c) more than three months prior to the filing of the
`
`IDS.
`
`d.
`
`D
`Patent Office. As to this information, the undersigned states that each item of information
`
`Some of the items of information were cited in a communication from a foreign
`
`contained in the IDS was first cited in a communication from a foreign Patent Office in a
`
`counterpart foreign application not more than three months prior to the filing of this IDS. As to
`
`the remaining information, the undersigned hereby states that no item of this remaining
`
`information contained in the IDS was cited in a communication from a foreign Patent Office in a
`
`counterpart foreign application and, to the best of my knowledge after making reasonable
`
`inquiry, was known to any individual designated in 37 C.F.R. § 1.56(c) more than three months
`
`prior to the filing of this statement.
`
`VI.
`
`PAYMENT OF FEES (check one box)
`D
`
`The required fee is listed on the attached Fee Transmittal.
`
`C8J
`
`No fee is required.
`
`If the Examiner has any questions concerning this IDS, he/she is requested to contact the
`
`undersigned. If it is determined that this IDS has been filed under the wrong rule, the PTO is
`
`4
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0005
`
`

`

`Application No.:
`
`Docket No.: 0020-5147PUS5
`
`requested to consider this IDS under the proper rule and charge the appropriate fee to Deposit
`
`Account No. 02-2448.
`
`If necessary, the Commissioner is hereby authorized in this, concurrent, and future
`
`replies, to charge payment or credit any overpayment to our Deposit Account No. 02-2448 for
`
`any additional fees required under 37 C.F.R. § 1.16 or under§ 1.17; particularly, extension of
`
`time fees.
`
`Dated: _A_U_G ........ 2 -'--7 -=20;;...:;..09=---
`
`Respectfully submitted,
`
`By~
`
`. Metkle
`Andre
`Registration No.: 32,868
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`8110 Gatehouse Road, Suite 100 East
`P.O. Box 747
`Falls Church, Virginia 22040-0747
`(703) 205-8000
`Attorney for Applicant
`
`Attachment(s):
`['gl
`PTO/SB/08
`D
`Document( s)
`D
`Foreign Search Report(s)
`D
`Fee
`D
`Other:
`
`5
`
`~
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0006
`
`

`

`Substitute for fonn 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Sheet I
`
`1
`
`I of I
`
`5
`
`AUG 2 7 2009
`
`Used in Lieu of PTO/SB/08NB
`(Based on PTO 01-08 version)
`
`Application Number
`
`Filing Date
`
`Complete if Known
`NEW
`AUll 2 1 zuu~
`Yoshinori SHIMIZU
`N/A
`Not Yet Assigned
`Attorney Docket Number 0020-514 7PUS5
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`Examiner
`Initials*
`
`U.S. PATENT DOCUMENTS
`
`Name of Patentee or
`Applicant of Cited Document
`
`Document Number
`Publication Date
`Cite
`( if known) MM-DD-YYYY
`No.' Number-Kind Code2
`AA* US-5,700,713-A
`12-23-1997 Yamazaki et al.
`AB* US-5,257,049
`10-26-1993 Van Peteghem
`11-02-2004 Reeh et al.
`AC* US-6,812,500
`AD* US-2001-0030326-A 1 10-18-2001 Reeh et al.
`AE* US-6,576,930
`06-10-2003 Reeh et al.
`AF* US-6, 784,511
`08-31-2004 Kunihara et al.
`AG* US-6,066,861
`05-23-2000 Hohn et al.
`AH* US-5,959,316
`09-28-1999 Lowery
`AI* US-5,118,985-A
`06-02-1992 Patton et al.
`AJ* US-4,644,223
`02-17-1987 de Hair et al.
`AK* US-6,538,371
`03-25-2003 Duggal et al.
`AL* US-3,875,456
`04-01-1975 Kano et al.
`05-05-1970 R.L. Amans
`AM* US-3,510,732
`AN* US-5,550,657
`08-27-1996 Tanaka et al.
`11-26-1996 Nakamura et al.
`AO* US-5,578,839
`AP* US-6,004,001-A
`12-21-1999 Noll
`AQ* US-4,905,060
`02-27-1990 Chinone et al.
`AR* US-3,652,956
`03-28-1972 Pinnow et al.
`AS* US-4,314,91 0
`02-09-1982 Barnes
`04-09-1991 Matsuoka et al.
`AT* US-5,006,908
`AU* US-5,369,289
`11-29-1994 Tamaki et al.
`AV* US-4,727,283
`02-23-1988 van Kemenade et al.
`AW* US-4,298,820
`11-03-1981 Bongers et al.
`AX* US-3,699,478
`10-17-1972 Pinnow et al.
`AY* US-6, 798,537
`08-25-1998 Nitta
`AZ* US-5,202,777
`04-13-1993 Sluzky et al.
`06-25-1974 Stevenson et al.
`AA1* US-3,819,974
`AB1* US-5,84 7,507
`12-08-1998 Butterworth et al.
`AC1* US-3,691,482
`09-12-1972 Pinnow et al.
`10-29-1985 Berkstesser et al.
`AD1* US-4,550,256
`AE1* US-4, 716,337
`12-29-1987 Huiskes et al.
`11-28-1995 De Backer et al.
`AF1* US-5,471,113
`10-20-1998 Ligthart et al.
`AG1* US-5,825,125-A
`AH1* US-5,602,418-A
`02-11-1997
`lmai et al.
`01-22-2002 Komoto et al.
`Al1* US-6,340,824-B 1
`09-07-1999 Shealy et al.
`AJ1* US-5, 949,182
`07-24-1973 Haisty et al.
`AK1* US-3, 7 48,548
`04-30-1996 Sluzky et al.
`AL1* US-5,512,210
`AM1* US-5,630,741
`05-20-1997 Potter
`08-15-1989 Kabay et al.
`AN1* US-4,857,228
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Foreign Patent Document
`Examiner Cite
`Date
`No.' Country Code' -Number' -Kind Code' (if known) MM-DD-YYYY
`Initials*
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines,
`Where Relevant Passages 1"
`Or Relevant Figures Appear
`
`BA
`
`JP-2002-270020-A
`
`09-20-2002 CASIO COMPUTER CO LTD
`
`Birch, Stewart, Kolasch & Birch, LLP
`
`ADM/~as
`
`Vizio EX1002 Page 0007
`
`

`

`AUG 2 7 2009
`
`Used in Lieu of PTO/SB/08NB
`(Based on PTO 01-08 version)
`
`Application Number
`
`Filing Date
`
`Complete if Known
`NEW
`AUb 2 ., zuu~
`Yoshinori SHIMIZU
`N/A
`Not Yet Assigned
`Attomey Docket Number 0020-514 7PUS5
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Sheet I
`
`2
`
`I of I
`
`5
`
`JP-7-321407
`BB
`JP-6-115158
`BC
`JP-61-158606
`BD
`J P-2000-512806
`BE
`JP-07-288341
`BF
`JP-5-226676
`BG
`JP-49-122292
`BH
`JP-11-500584
`Bl
`JP-8-78727-A
`BJ
`JP-03-152898-A
`BK
`JP-06-139973-A
`BL
`BM EP-0 500 937-A1
`BN
`J P-2001-320094-A
`BO DE-3804293-A 1
`JP-06-231605-A
`BP
`BQ GB-2 000173
`BR EP-0 383 215-A
`BS DE-9013615-U
`BT
`JP-59-301 07 -U
`JP-7 -32638-U
`BU
`BV
`JP-01-257993-A
`BW JP-01-260707 -A
`JP-02-111922-A
`BX
`BY
`JP-05-142424-A
`BZ
`JP-06-160635-A
`BA1 JP-06-027327-A
`BB1 JP-06-82633-A
`BC1 JP-07-114904-A
`BD1 JP-07 -235207 -A
`BE1 JP-53-7153
`8F1 JP-7-42152-A
`BG1 JP-55-4898-A
`8H1 J P-55-005533-A
`JP-60-185457
`811
`JP-62-20237 -A
`8J1
`8K1 JP-62-232827 -A
`8L1 JP-01-189695-A
`8M1 JP-07-120754-A
`8N1 JP-06-177 423-A
`801 JP-7-99345-A
`8P1 JP-09-027642-A
`801 JP-05-63068-U
`8R1 EP-0 209 942-A 1
`881 EP-0 541 373-A2
`BT1 JP-0 599 224-A1
`
`12-08-1995 FUJI ELECTRIC CO LTD.
`04-26-1994 AGFA GEVAERT NV
`07-18-1986
`09-26-2000
`10-31-1995 NICHIA CHEM IND LTD
`03-09-1993 SHARP CORP.
`11-22-1974
`01-12-1999
`03-22-1996
`06-28-1991
`05-20-1994
`09-02-1992
`11-16-2001
`08-24-1989
`08-19-1994
`01-04-1979
`08-22-1990
`01-24-1991
`02-24-1984
`06-16-1995
`10-16-1989
`10-18-1989
`04-24-1990
`06-11-1993
`06-07-1994
`02-04-1994
`03-25-1994
`05-02-1995
`09-05-1995
`01-21-1978
`07-21-1995
`01-14-1980
`01-16-1990
`09-20-1985
`01-28-1987
`10-13-1987
`07-28-1989
`05-12-1995
`06-24-1994
`04-11-1995
`01-28-1997
`08-20-1993
`01-28-1987
`11-05-1992
`06-01-1994
`
`...J
`
`I I
`H R
`
`...J
`...J
`...J
`...J
`...J
`...J
`
`Birch, Stewart, Kolasch & Birch, LLP
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0008
`
`

`

`Substitute for fonn 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Sheet I
`
`3
`
`I of I
`
`8U1 JP-01179471-A
`8V1 JP-5043913-C1
`8W1 JP-554898-A
`8X1 JP-09027642-A
`8Y1** JP-08007614-A
`BZ1** JP-07176794-A
`~ JP-07099345-A
`13132"* JP-05152609
`BC2"* JP-6220237-A
`BD2"* W0-97/50132-A 1
`8E2"* W0-98/12757 -A 1
`8F2'* JP-5079379
`BG2"* JP-742152
`8H2"* JP-4717684
`812** JP-491221
`8J2** JP-49112577
`BK2"* JP-62189770
`8L2** JP-291980
`Blv12"* JP-5152609-A
`BN2'* JP-5183189-A
`802"* JP-863119
`BP2"* J P-1 0036835-A
`BQ2"* JP-49106283
`8R2"* JP-5245181
`BS2"* G8-1589964
`BT2'* JP-5441660
`8U2'* JP-5472484
`8\/2"* JP-5950445
`BNZ" JP-324692
`BX2"* JP-463162
`8't?* JP-463163
`BZ2'* JP-563068
`BA3"* JP-8170077
`BB3"* JP-5331584
`BC3'* JP-60144381
`BD3** JP-62167387
`883'-* JP-6208845
`BF3'* JP-06177423
`BG3"* JP-06260680
`BH3'" JP-06268257
`
`5
`
`Attorney Docket Number
`
`07-17-1989
`04-21-1975
`01-14-1980
`01-28-1997
`01-12-1996
`07-14-1995
`04-11-1995
`06-18-1993
`01-28-1987
`12-31-1997
`03-26-1998
`11-24-1973
`07-21-1995
`09-09-1972
`01-12-1974
`10-26-1974
`02-15-1986
`09-29-1988
`06-18-1993
`07-23-1993
`03-08-1996
`02-10-1998
`12-27-1972
`10-14-1977
`05-20-1981
`12-05-1979
`11-07-1978
`04-01-1984
`03-14-1991
`05-29-1992
`05-29-1992
`08-20-1993
`07-02-1996
`03-24-1978
`07-30-1985
`07-23-1987
`07-26-1994
`06-24-1994
`09-16-1994
`09-22-1994
`
`AUG 2 7 2009
`
`Used in Lieu of PTO/SB/OBA/B
`(Based on PTO 01-08 version)
`
`Complete if Known
`NEW
`AUG 2 7 2009
`Yoshinori SHIMIZU
`N/A
`Not Yet Assigned
`0020-5147PUS5
`
`I I r
`
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`v
`
`Birch, Stewart, Kolasch & Birch, LLP
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`ADM/ETP/Ias
`
`Vizio EX1002 Page 0009
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`

`

`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Sheet I
`
`4
`
`I of I
`
`5
`
`AUG 2 7 2009
`
`Used in Lieu of PTO/SB/08NB
`(Based on PTO 01-08 version)
`
`Complete if Known
`
`NEW
`AUli 2 1 zuu~
`Yoshinori ,SHIMIZU
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`
`N/A
`Not Yet Assigned
`Attorney Docket Number 0020-5147PUS5
`
`Bl3** JP-4-234481-A
`BJ3** JP-4-80286-A
`BK3** GB-1 305111
`BL3"* EP-0 667 383-A2
`
`08-24-1992
`03-13-1992
`01-31-1973
`08-16-1995
`
`I Examiner
`
`Signature
`
`I Date
`
`Cons1dered
`
`•EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO.: Those application(s) which are marked with an single asterisk (•) next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. •• CITE NO.:
`Those document(s) which are marked with an double asterisk (*•) next to the Cite No. are not supplied because they were previously cited by or submitted to the
`Office in a prior application relied upon in this application for an earlier filing date under 35 U.S.C. 120.
`'Applicant's unique citation designation number
`(optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued the document, by the two-letter code
`(WIPO Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check
`mark here if English language Translation is attached.
`
`Exami!;ler Cite
`No. 1
`Initials
`
`T'
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of
`the item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s). volume-issue
`number(s). publisher, city and/or country where published.
`"White LED lamp: Efficient light-emitting; Manufacture cost half', Nikkei Sangyo Shimbun,
`September 13, 1996, Published by Nihon Keizai Shimbunsha.
`"SIMENS SMT-TOPLED fur die Oberflachenmontage" Frank Mollmer et al. Simens
`Components, 29 (1991) Hfet 4.
`"Proceedings of the Institute of Phosphor Society", Translation of pages 1, 5 to 14 of the 264th
`Proceedings of the Institute of Phosphor Society, Nov. 29, 1996.
`"Nichia Chemical starts the sample shipment of white light emitting diode", News Report,
`translation of paQe 15 of Nikkei Electronics 1996.9.23 (No. 671 }.
`"GaNpn Contact Blue/Ultraviolet light Emitting Diode", H. Amano et al., Applied Physics, Vol.
`20, No.2, pp. 163-166 (1991}
`"Phosphors Based on Rare-Earths, A New Era in Fluorescent Lighting", B.M.J. Smets,
`Materials Chemistry and Physics, 16 pp. 283-299 (1987)
`"A New Phosphor for Flying-Spot Cathode-Ray Tubes for Color Television: Yellow Emitting .. ",
`G. Blasse et al., App. Phys. Lett. Vol. 11, No. 2, pp. 53-55 (1967)
`Y. Nayatani, Color Research & Application, Vol. 20, No. 3, June 1995, pp. 143-155.
`WUSTLICH MIKRO-/OPTO-ELEKTRONIK GMBH (1994/1995}
`W.W. Holloway, Jr. et at., "Optical Properties of Cerium-Activated Garnet Crystals", 1969
`Journal of the Optical Society of America, Vol. 59, No. 1, pp. 60-63
`CK W.W. HOLLOWAY, Jr. et al., "On The Fluorescence of Cerium- Activated Garnet Crystals",
`Physics Letters, Vol. 25A, No.8, 23 October 1967, pp. 614-615.
`CL W.J. MINISCALCO et al., "Measurements of Excited-State Absorption in Ce3+:YAGa)", J.
`Appl. Phys. Vol. 49, No. 12, December 1978, pp. 6109-6111.
`Takashi MATSUOKA et al., "Growth and Properties of a Wide-Gap Semiconductor lnGaN",
`Optoelectronics-Devices and Technologies, Vol. 5, No. 1, pp.53-64, June 1990.
`Tadao MIURA, ELECTRONICS ENGINEERING, "High-intensity White Backlighting for LCD of
`Car Audios", July 1996, Vol. 38, No. 7, pp. 55-58
`T. NAGATOMO et al., "Ga1-xlnxN Blue Light-Emitting Diodes", Proc. Electrochem. Soc.,
`1993, Vol. 93-10, pp. 136-141.
`
`CA
`
`CB
`cc
`
`CD
`
`CE
`
`CF
`
`CG
`
`CH
`Cl
`CJ
`
`CM
`
`CN
`co
`
`Birch, Stewart, Kolasch & Birch, LLP
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0010
`
`

`

`AUG 2 7 2009
`
`Used in Lieu of PTO/SB/OSAJB
`(Based on PTO 01-08 version)
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Complete if Known
`
`Application Number
`
`Filing Date
`
`NEW
`AUll :& ., LUU~
`
`First Named Inventor
`
`Yoshinori SHIMIZU
`
`(Use as many sheets as necessary)
`
`Sheet I
`
`5
`
`I of I
`
`5
`
`Art Unit
`
`Examiner Name
`
`N/A
`Not Yet Assigned
`Attorney Docket Number 0020-5147PUS5
`
`CP
`
`CQ
`
`CR
`cs
`
`CT
`cu
`cv
`cw
`ex
`CY
`cz
`CA1
`
`CB1
`CC1
`CD1
`CE1
`
`CF1
`
`CG1
`CH1
`Cl1
`
`CJ1
`CK1
`
`CL1
`CM1
`CN1
`
`C01
`
`CP1
`
`CQ1
`
`Shuji NAKAMURA, "Zn-doped lnGaN growth and lnGaN/AIGaN double-heterostructure blue-
`light-emitting diodes", Journal of Crystal Growth, 145 (1994), pp. 911-917.
`Shuji NAKAMURA, "lnGaN/AIGaN blue-light-emitting diodes", J. Vac. Sci. Techno!. A 13(3),
`May/Jun 1995, pp. 705-710.
`Shuji NAKAMURA, "High-Power lnGaN/AIGaN Double-Heterostructure Blue-Light-Emitting
`Diodes", IEDM 94 (1994), IEEE, pp. 567-570.
`Shuji NAKAMURA et al., "Si-Doped lnGaN Films Grown on GaN Films", Jpn. J. Appl. Phys.
`Vol. 32 (1993), pp. L 16-L 19, Part 2, No. 1NB, 15 January 1993.
`Shuji NAKAMURA et al., "P-GaN/N-InGaN/N-GaN Double-Heterostructure Blue-Light-Emitting
`Diodes", Jpn. J. Appl. Phvs. Vol. 32 (1993), pp. L8-L 11, Part 2, No. 1NB, 15, January 1993.
`Shigeo SHIONOYA et al. (editors), "Phosphor Handbook", pp. 505-508, CRC Press, 1999.
`Sato et al., Japanese Journal of Applied Physics, Vol. 35, July 1, 1996, pp. L838-L839.
`S. Nakaura et al., Japanese Journal of Applied Physics Part 2, Vol. 31, No. 1 OB, 1992, pp.
`L 1457-1459.
`R. W. G. Hunt, Color Research & Application, Vol. 16, No. 3,1991, pp. 146-165.
`Proceedings of Illumination National Convention in 1983, page 12.
`Phosphor Handbook, 1st Edition, 1987, pp. 233-240 and 275-277.
`P. Schlouer et al. "Luminescence Conversion of Blue Light Emitting Diodes", Applied Physics
`Letter, vol. 46, p. 417-418, February 1997
`Nikkei Sangyo Shin-bun of September 13, 1996.
`Nakamura, SPIE, Vol. 3002, pp. 26-35 (1997)
`Mitsubishi Electric Company Technical Report, Vol. 48, No.9, 1974, pp. 1121-1124.
`M.F. YAN et al., "Preparation of Y3AI5012-Based Phosphor Powders, J. Electrochem. Soc.,
`Vol. 134, No. 2, Feb. 1987.
`M. Ikeda, Journal of the Illumination Society, Vol. 71, No. 10, 1987, pp. 612-617 and English
`Abstract.
`M. Ikeda et al., Color Research & Application, Vol. 16, No. 2, April 1991, pp. 72-80.
`M. Ikeda et al., Color Research & Application, Vol. 14, No.4, August 1989, pp. 198-206.
`Kozo OSAMURA et al., "Preparation and optical properties of Ga1-xlnxN thin films", Journal of
`Applied Physics, Vol. 46, No.8, August 1975, pp. 3432-3437.
`Journal of the Television Society, Vol. 47, No.5, 1993, pp. 753-764.
`J.M. Robertson, et al., "Colourshift of the Ce3+ Emission in Monocrystalline Epitaxially Grown
`Garnet Layers", 1981 Philips J. Res. 36, pp. 15-30
`Hoffman, Journal of les, pp. 89-91 (1977)
`H. Shinoda et al., Color Research & Application, Vol. 18, No.5, October 1993, pp. 326-333.
`G. BLASSE et al., "Investigation of Some Ce3+-Activated Phosphors", Journal of Chemical
`Physics, Vol. 47, No. 12, 15 December 1967.
`E. F. GIBBONS et al., "Some Factors Influencing the Luminous Decay Characteristics of
`Y3AI5012:Ce3+", J. Electrochem. Soc., Vol. 120, No.6, June 1973.
`D.J. ROBBINS et al., "Lattice Defects and Energy Transfer Phenomena in Y3AI5012:Ce3+",
`IPP. 1004-1013, printed June 19,2001.
`Branko et al., Development and applications of highbright white LED lamps, November 29,
`1996, The 264th Proceedings of the Institute of Phosphor Society, pages 4-16 of the English
`translation .
`
`I
`
`I Examiner I
`
`Signature
`
`I Date
`
`Considered
`
`Birch, Stewart, Kolasch & Birch, LLP
`
`ADM/ETP/Ias
`
`Vizio EX1002 Page 0011
`
`

`

`r; i
`
`IN THE U.S. PATENT AND TRADE~illRK OFFICE
`
`Applicant(s): SHIMIZU, Yoshinori et al
`
`Serial No.:
`
`Filed:
`
`July 29, 1997
`
`Group:
`
`Examiner:
`
`For:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`LETTER
`
`Assistant Commissioner for Patents
`Box Patent Application
`Washington, D.C.
`20231
`
`Sir:
`
`July 29, 1997
`0020-4260P
`
`Under the provisions of 35 USC 119 and 3 7 CFR 1. 55 (a) , the
`
`applicant hereby claims the right of priority based on the following
`
`application (s):
`
`Country.
`
`JAPAN
`JAPAN
`JAPAN
`JAPAN
`JAPAN
`
`Application No.
`
`Filed
`
`8-198585
`8-244339
`8-245381
`8-359004
`9-081010
`
`07/29/96
`09/17/96
`09/18/96
`12/27/96
`03/31/97
`
`A certified copy of the above-noted application{s) is(are)
`
`attached hereto.
`
`Please charge any fees under 37 CFR 1.16 - 1.21 (h) or credit
`
`any overpayment to Deposit Account No. 02-2448.
`
`Respectfully submitted,
`
`& BIRCH, LLP
`
`BIRCH, ~" T, KOLASCH
`/
`.
`/L
`By: -M1/"? z;z;£t-:._1~/
`REW D . MEIKLE
`Reg. No. 32,868
`P. 0. Box 747
`Falls Church, Virginia 22040-0747
`
`\ttachment
`703) 205-8000
`:o
`
`. \
`
`\ t \
`
`Vizio EX1002 Page 0012
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`

`

`Attorney Docket No. 0020-5147PUS5
`
`-1-
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`CROSS-REFERENCE TO RELATED APPLICATIONS
`
`[0001]
`
`This application is a divisional of U.S. Application No. 12/028,062 filed
`
`February 8, 2008, which is a divisional of U.S. Application No. 10/609,402 filed July 1,
`
`2003, now U.S. Patent 7,362,048, which is a divisional of U.S. Application No.
`
`09/458,024, filed December 10, 1999, now U.S. Patent 6,614,179, which is a divisional of
`
`U.S. Application No. 09/300,315, filed on April 28, 1999, now U.S. Patent 6,069,440,
`
`which is a divisional of U.S. Application No. 08/902,725, filed on July 29, 1997, now U.S.
`
`Patent 5,998,925, which also claims priority on Japanese Patent Application Nos. P 08-
`
`198585 filed July 29, 1996; P 08-244339 filed September 17, 1996; P 08-245381 filed
`
`September 18, 1996; P 08-359004 filed December 27, 1996; and P 09-081010 filed March
`
`31, 1997. The entire contents of each of these applications is hereby incorporated by
`
`reference.
`
`BACKGROUND OF THE INVENTION
`
`(Field of the Invention)
`
`[0002]
`
`The present invention relates to a light emitting diode used in LED display,
`
`back light source, traffic signal, trailway signal, illuminating switch, indicator, etc. More
`
`particularly, it relates to a light emitting device (LED) comprising a phosphor, which
`
`converts the wavelength of light emitted by a light emitting component and emits light,
`
`and a display device using the light emitting device.
`
`Description of Related Art
`
`[0003)
`
`A light emitting diode is compact and emits light of clear color with high
`
`efficiency.
`
`It is also free from such a trouble as burn-out and has good initial drive
`
`characteristic, high vibration resistance and durability to endure repetitive ON/OFF
`
`operations, because it is a semiconductor element. Thus it has been used widely in such
`
`Vizio EX1002 Page 0013
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`

`

`Attorney Docket No. 0020-5147PUS5
`
`-2-
`
`applications as various indicators and various light sources. Recently light emitting diodes
`
`for RGB (red, green and blue) colors having ultra-high luminance and high efficiency
`
`have been developed, and large screen LED displays using these light emitting diodes
`
`have been put into use. The LED display can be operated with less power and has such
`
`good characteristics as light weight and long life, and is therefore expected to be more
`
`widely used in the future.
`
`[0004]
`
`Recently, various attempts have been made to make white light sources by
`
`using light emitting diodes. Because the light emitting diode has a favorable emission
`
`spectrum to generate monochromatic light, making a light source for white light requires it
`
`to arrange three light emitting components of R, G and B closely to each other while
`
`diffusing and mixing the light emitted by them. When generating white light with such an
`
`arrangement, there has been such a problem that white light of the desired tone cannot be
`
`generated due to variations in the tone, luminance and other factors of the light emitting
`
`component. Also when the light emitting components are made of different materials,
`
`electric power required for driving differs from one light emitting diode to another,
`
`making it necessary to apply different voltages different light emitting components, which
`
`leads to complex drive circuit. Moreover, because the light emitting components are
`
`semiconductor light emitting components, color tone is subject to variation due to the
`
`difference
`
`in
`
`temperature characteristics, chronological changes and operating
`
`environment, or unevenness in color may be caused due to failure in uniformly mixing the
`
`light emitted by the light emitting components. Thus light emitting diodes are effective as
`
`light emitting devices for generating individual colors, although a satisfactory light source
`
`capable of emitting white light by using light emitting components has not been obtained
`
`so far.
`
`[0005]
`
`In order to solve these problems, the present applicant previously
`
`developed light emitting diodes which convert the color of light, which is emitted by light
`
`emitting components, by means of a fluorescent material disclosed in Japanese Patent
`
`Vizio EX1002 Page 0014
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`

`

`Attorney Docket No. 0020-5147PUS5
`
`-3-
`
`Kokai Nos. 5-152609, 7-99345, 7-176794 and 8-7614. The light emitting diodes disclosed
`
`in these publications are such that, by using light emitting components of one kind, are
`
`capable of generating light of white and other colors, and are constituted as follows.
`
`[0006]
`
`The light emitting diode disclosed in the above gazettes are made by
`
`mounting a light emitting component, having a large energy band gap of light emitting
`
`layer, in a cup provided at the tip of a lead frame, and having a fluorescent material that
`
`absorbs light emitted by the light emitting component and emits light of a wavelength
`
`different from that of the absorbed light (wavelength conversion), contained in a resin
`
`mold which covers the light emitting component.
`
`[0007]
`
`The light emitting diode disclosed as described above capable of emitting
`
`white light by mixing the light of a plurality of sources can be made by using a light
`
`emitting component capable of emitting blue light and molding t