PTO/SBlO5 (O8-08)
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`US. Patent and Trademark Office. U.S. DEPARTMENT OF COMMERCE
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`0020-5147PUS12
`Attorney Docket No.
`
`
`
`
`UTILITY
`
`PATENT APPLICATION
`
`TRANSMITTAL
`
`
`
`Yoshinori SHIMIZU
`First Inventor
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`Title
`
`
`
`{Only for new nonprovisional applications under 37 CFR 1.53(b))
`Express Mail Label No.
`
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
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`APPLICATION ELEMENTS
`See MPEP chapter 6300 concerning utility patent application contents.
`
`ADDRESS TO:
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`
` 1.
`Fee Transmittal Form (e.g., PTO/SB/17)
`AcCQMpANy|NG App|_|cA1'|oN PARTS
`2. I: Applicant claims small entity status.
`9. I:IAssignment Papers (cover sheet (PTO-1595) & document(s)
`See 37 CFR .,_27_
`Total Pa es 61
`.
`S ecification
`- BIZ“, me C.a,,,,5 and abS,,aC, ,,,,[,5, 5,3,, onga ,,T,,,,,€,;—" I
`Name ofAssigneejfljj
`(For information on the preferred arrangement, see MPEP 60B.01(a))
`Drawing(s) (35 U.S,C. 113)
`[Total Sheets 19
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`3
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`4
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`v]
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`5 Oath or Declaration
`[Total Sheets
`a. I Newly executed (original or copy)
`b.
`A copy from a prior application (37 CFR 1.63(d))
`for continuation/divisional with Box 18 completed)
`i.
`DELETION OF lNVENTOR(S)
`name In
`8
`TIOI’ 8
`ica IOU, see
`Signed 55It:19m?"I3“3|9h*3tfId9I91I"%_;“é:T;°"(5)
`1_63(d)(2) anpd 1.33%)‘
`
`2
`
`_]
`
`Power of
`10. E] 37 CFR 3.73(b) Statement
`Attorney
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`11. [3 English Translation Document (if applicable)
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`12.
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`Infofition Disclosure Statement (PTO/SB/08 or PTO-1449)
`Copies of foreign patent documents,
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`I»
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`(‘I f°’e’9" P”°”‘Y '5 °Ia’medi
`_
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`,
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`17_
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`Other. Copy of Letter submitting priority documents from
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`CI Continuation
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`I:I Continuation-in—part (CIP)
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`Examiner A" B‘ Mustapha
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`of prior application No.: .12/548’614
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`Date November 9, 2010
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`This collection of information is required by 37 CFR 1.53(b). The information is required to obtain or retain a benefit by the public which is to file (and by the
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`I
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`VIZIO 1003
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`VIZIO 1003
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`Docket No.: 0020-5147PUS12
`
`(Patent)
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Patent Application of:
`
`Yoshinori SHIMIZU et al.
`
`Application No.:
`
`NEW
`
`Confirmation No.: N/A
`
`Filed:
`
`November 9, 2010
`
`Art Unit:
`
`For:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`Examiner:
`
`N/A
`
`N/A
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`Sir:
`
`Applicant(s) hereby submit(s) an Information Disclosure Statement for consideration by
`the Examiner.
`
`1.
`
`LIST OF PATEN]§,_PUBLICATIONS OR OTHER INFORMATION
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`The patents, publications, or other information submitted for consideration by the Office
`are listed on the attached PTO/SB/08.
`
`ll.
`
`I171
`
`coP1E§
`
`a.
`
`Copies of foreign patent documents, non-patent literature and other information.
`
`REFERENCES PREVIOUSLY CITED OR SUBMITTED: Copies of any
`b.
`121
`information not provided can be found in one or more of the following applications which has
`been relied upon for an earlier filing date under 35 U.S.C. § 120:
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`US. A_pp_lication No. and U.S. FilingDate
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`12/548,614, filed August 27, 2009
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`BIRCH. S’l‘EWAR'lI KOLASCH & BIRCH. LLP
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`” ‘ xl./’
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`VIZIO 1003
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`Application No.: NEW
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`Docket No.: 0020-5l47PUSl2
`Page 2 of 5
`
`12/028,062, filed February 8, 2008, now U.S. Patent 7,682,848
`
`10/609,402, filed July 1, 2003, now U.S. Patent 7,362,048
`
`09/458,024, filed December 10, 1999, now U.S. Patent 6,614,179
`
`09/300,315, filed April 28, 1999, now U.S. Patent 6,069,440
`
`08/902,725, filed July 29, 1997, now U.S. Patent 5,998,925.
`
`CONCISE EXPLANATION OF THE RELEVANCE/OTHER INFORMATION
`III.
`a.
`U
`NON-ENGLISH LANGUAGE DOCUMENTS: A concise explanation of the
`relevance of all non-English language patents, publications, or other information listed is as
`follows:
`
`E
`
`b.
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`ENGLISH LANGUAGE SEARCH REPORT OR FOREIGN PATENT OFFICE
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`COMMUNICATION: An English language version of the search report or Foreign Patent Office
`communication that indicates the degree of relevance is attached.
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`E
`
`c.
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`OTHER: The following additional information is provided.
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`All references were cited during prosecution of parent Application No. 12/548,614, filed
`August 27, 2009.
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`IV.
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`STATEMENT UNDER 37 C.F.R. § 1.97(e)
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`The undersigned hereby states that:
`
`first cited in any
`Each item of information contained in the IDS was
`a.
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`communication from a foreign patent office in a counterpart foreign application not more than 3_0
`days prior to the filing of this IDS. This statement does not relate to English language
`counterparts not listed in a communication from the foreign patent office. Such English language
`counterparts are provided to aid the Examiner’s consideration of non-English items first cited in
`the communication from the foreign patent office; or
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`BIRCH. STEWART. K01,/\SCll & BIRCH. LLP
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`‘-~ T
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`Application No.: NEW
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`DocketNo.: 0020-5l47PUSl2
`Page 3 of 5
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`first cited in any
`Each item of information contained in the IDS was
`b.
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`communication from a foreign patent office in a counterpart foreign application not more than
`three months‘ prior to the filing of this IDS. This statement does not relate to English language
`counterparts not listed in a communication from the foreign patent office. Such English language
`counterparts are provided to aid the Examiner’s consideration of non-English items first cited in
`the communication from the foreign patent office; or
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`No item of information contained in the IDS was cited in a communication from a
`c.
`U
`foreign patent office in a counterpart foreign application, and, to the knowledge of the person
`signing the certification after making reasonable inquiry, no item of IDS was known to any
`individual designated in 37 C.F.R. § l.56(c) more than three months prior to the filing of the
`IDS.
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`Some of the items of information in the IDS were cited in a communication from
`d.
`El
`a foreign patent office. Such items were 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. This statement does not
`relate to English language counterparts not
`listed in a
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`to aid the Exai:niner’s consideration of non-English items first cited in the communication from
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`person signing the certification after making reasonable inquiry, such remaining items were not
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`V.
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`FEES
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`This Information Disclosure Statement is being filed concurrently with the filing
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`[21
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`VIZIO 1003
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`Application No.: NEW
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`Docket No.: 0020-5l47PUSl2
`Page 4 of 5
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`This Information Disclosure Statement is being filed before the mailing date of a
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`Cl
`first Action on the merits. No fee is required. If a first Office Action on the merits has issued,
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`PAYMENT OF FEES
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`BIRCH. STEWART. KOLASCH & BIRCH. LLP
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`/\pplicationNo.: NEW
`
`DocketNo.: 0020-5I47PUS12
`Page 5 of5
`
`If the Examiner has any questions concerning this IDS, please Contact the undersigned. If
`
`02-2448.
`
`Dated: November 9, 2010
`
`
`Respe
`
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`Po. )‘~‘.A
`
`“”
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`D. ichard Anerson
`Registration No.2 40,439
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`81 10 Gatehouse Road, Suite 100 East
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`
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`Attachment(s):
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`PTO/SB/08
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`Document(s)
`E]
`Foreign Patent Office Communication
`I]
`Foreign Search Report
`Fee
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`El
`
`E1
`
`Other:
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`DRA/CEI‘/py
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`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB O651—0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paerwork Reduction Act Of 1995, no ersons are reuired to resond to a collection of Information unless it contains a valid OMB Control number.
`Substitute for form 1449/PTO
`C°’"P'et° if K"°‘”"
`Application Number
`NEW
`INFORMATION DISCLOSURE concurrently Herewtth
`STATEMENT BY APPLICANT Yoshinort SHIMIZU
`N/A
`Ar‘t Unit
`(Use as many sheets as necessary)
`Examiner Name
`Not Yet Assigned
`
`Attorney Docket Number 0020-5147PUS12
`
`U.S. PATENT DOCUMENTS
`
`
`
`examiner
`ct-e
`Publbatbn Date
`Name or Patemee or
`§2%32n?S'§s";2Z§";?i;Z“’“uZ'§t
`N0.‘
`Number—Kind codez (”k"°W") MM-DDTYYYY
`Applicant of Cited Document
`F-guresippear
`AA”
`US—5,700,713—A
`12-23-1997 Yamazaki et al.
`AB*‘
`iUS—5,257,049
`10-26-1993 Van Peteghem
`11-02-2004 |Reeh et al.
`US—6,812,500
`_AC"
`AD"
`‘/i;5'2°°1‘°°3°325'
`10-18-2001 tReett etal.
`AE"
`|uS-6,576,930
`06-10-2003 Reeh et al.
`
`AF‘
`
`US—6,784,511
`
`r68-31-2004 Kunihara et at.
`
`F
`
`_
`
`05-23-2000 Hohn et al.
`US—6,066,861
`AG‘*
`09-28-1999 Lowery
`US—5,959,316
`AH"
`06-02-1992 Patton et at.
`US-5,118,985-A
`A|*
`02-17-1987 de Hair et al.
`US-4,644,223
`AJ*
`03-25-2003 |Dugga| et al.
`us-6,538,371
`AK‘
`04-01-1975 |Kano et al.
`us-3,875,456
`AL*
`05-05-1970 |R.L. Amans
`|US—3,510,732
`LAM"
`08-27-1996 |Tanaka et al.
`|US—5,550,657
`AN"
`11-26-1996 INakamura et al.
`|uS-5,578,839
`AO*
`12-21-1999 INOl|
`IUS-6,004,001-A
`AP‘
`J02-27-1990 Chinone et al.
`|uS-4,905,060
`AQ‘*
`A8‘
`Jus-4,314,910
`02-09-1982 tT3arneS
`03-28-1972 Pinnow et at.
`|US—3,652,956
`AR"
`
`FOREIGN PATENT DOCUMENTS
`
`
`examiner
`F°"*'”"a“*"‘°°°“'“"”‘
`Name of Patentee or
`uihitisttiiili-??§;tZ‘§§es
`
`
`Initials‘
`NO.‘
`Country Code’-Number‘-Kind Code5{ifknown)
`APP”°3”t °f Cited D°°“me”t
`Or Relevant Figures Appear
`
`09-20-2002 CASIO COMPUTER CO LTD
`JP-2002-270020—A
`| 12-08-1995 IFUJI ELECTRIC CO LTD.
`JP—7-321407
`JP-6-115158
`|04-26-1994 IAGFA GEVAERT NV
`| JP-61-158606
`07-18-1986
`IJP-2000-512806-A
`09-26-2000
`
`
`
`
`BD
`fl BE
`
`BF
`
`
`
`
`IJP—O7—288341
`
`10-31-1995 NICHIA CHEM IND LTD
`
`
`
`
`
`
`
`
`|
`F
`
`
`
`
`
`Examiner
`Si - nature
`
`Date
`Considered
`
`‘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 app|icatiOn(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 lFW.
`‘Applicant's
`unique citation designation number (optional)
`2 See Kinds Codes of USPTO Patent Documents at www.usQto.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. 8App|iCEtnt is to place a check mark here it English language Translation is attached.
`
`(Wt
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`VIZIO 1003
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`VIZIO 1003
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`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`Complete if Known
`
`Application Number
`
`
`
`
`
` Concurrently Herewith
`
`Yoshinori SHIMIZU
`
`
`Filing Date
`First Named Inventor
`Art Unit
`
` INFOIRMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT
`
`-(Use as many sheets as necessary)
`Examiner Name
`
`Not Yet Assigned
`Attorney Docket Number
`0020-5147PUS12
`
`
`
`
`
`Document Number
`
`U.S. P/LT_ENT DOCUMENTS
`Publication Dene
`
`
`
`
`
`_
`
`_
`
`
`
`
`Ii1)itiaéiI;l?er
`Number-Kind Codez ('”"°W")
`'V'M‘DD~YYYv
`Appltiicaanrlfrfffgfetgnszi3:16“‘
`Re'e“a"‘rZ3?§§ite1»5pZ25e'eVa"‘
`
`
`
`Pages, Columns, Lines, Where
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`L
`
`J
`
`04-09-1991 Matsuoka et al.
`11-29-1994 Tamaki et al
`
`02-23-1988 ban Kemenade et al.
`11-03-1981 Bonggrs et al.
`10-17-1972 Pinnow et al.
`08-25-1998 Nitta
`04-13-1993 Sluglgy et al.
`06-25-1974 Stevenson et al.
`12-08-1998 Buttenlvorth et al.
`09-12-1972 Pinnow et al.
`10-29-1985 Berkstesser et al.
`_i12-29-1987 Huiskes et al.
`11-28-1995 De Backer et al.
`10-20-1998 Ligthart et al.
`02-11-1997 Imai et al.
`12-07-1999 |Shimizu et al.
`05-30-2000 IShimizu et al.
`08-19-2003 |Shimizu et al.
`09-02-2003 IShimizu et al.
`
`
`
`
`
`US-5,006,908
`US-5,369,289
`
`AT*
`AU"
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`US-4,727,283
`AV‘
`I US-4,298,820
`AW*
`I US-3,699,478
`AX‘
`|US-5,798,537
`AY*
`US-5,202,777
`AZ*
`AA1* US-3,819,974
`AB1* US—5,847,507
`AC’l* US—3,691,482
`i_AD’l* US-4,550,256
`AE1* US-4,716,337
`AF1* US—5,471,113
`AG'l* US-5,825,125-A
`AH’l* US-5,602,418-A
`AI1"
`US-5,998,925-A
`AJ1* US—6,069,440-A
`AK1* US-6,608,332-B2
`AL1* US—6,614,179-B1
`
`
`
`
`
` FOREIGN PATENT DOCUMENTS
`Publication
`1 D
`p t
`'
`F
`t
`Pages, Columns, Lines,
`
`a en Ocumen
`Date
`Name of Eaiemee °r
`Where Relevant Passages
`ore n
`
`
`Country Code’-Number‘-Kind Codes {fknown)
`MM.DD.YYYY
`Apphcant °f cued D°°”mem
`Or Relevant Figures Appear
`NC
`
`03-09-1993 SHARP CORP.
`JP-5-226676
`BG
`
`JP-49-122292
`11-22-1974
`I BH
`I01-12-1999
`JP-11-500584
`IBI
`
`
`JP-8-78727-A
`13.1
`03-22-1996
`
`BK
`IJP-03-152898-A
`06-28-1991 |
`
`
`
`IBL
`JP-06-139973-A
`05-20-1994 I
`
`
`
`
`
`
`
`V
`Exammei
`
`1
`
`
`
`Examiner
`Si nature
`
`Date
`Considered
`
`‘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.
`‘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).
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`AB2* US-5,706,022
`AC2” US-5,743,629
`ADI!” US-6,600,175
`AE2* US-20100001258
`
`02-12-2008 Shimizu et al.
`10-24-2006 Shimizu et al.
`04-11-2006 Shimizu et al.
`05-O8-2007 Shimizu et al.
`07-04-2006 Shimizu et al.
`05-12-2009 Shimizu et al.
`04-22-2008 Shimizu et al.
`09-07-1999 Shealy et al.
`07-24-1973 Haisty et al.
`O4-30-1996 Sluzkj et al.
`05-20-1997 Potter
`08-15-1989 Kab_ay et al.
`01-22-2002 Komoto et al.
`01-04-1977 Ryan
`05-04-1993 O'Connor et al.
`01-06-1998 Hato
`04-28-1998 Helstern et al.
`07-29-2003 |Baretz et al.
`01-07-2010 IShimizu et al.
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`09-02-1992
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`I 08-24-1989
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`A12‘ _:JUS-5,801,435
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`aw JP—O1-260707—A
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`05-11-1993
`06-07-1994
`02-04-1994
`03-25-1994
`05-02-1995
`09-05-1995
`01-21-1978
`07-21-1995
`01-14-1980
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`07-17-1989
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`01-14-1980
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`07-14-1995
`04-1 1-1995
`06-18-1993
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`12-31-1997
`03-26-1998
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`Fore. nPatentDocument
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`JP—O5-142424-A
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`JP-06-027327-A
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`JP-62-20237—A
`JP-52-232827-A
`JP-01-1 89695-A
`JP-07-120754-A
`JP—O6—177423-A
`JP-7—99345-A
`JP-09—027642—A
`JP-05—63068—U
`EP-0 209 942-A1
`EP-0 541 373-A2
`JP—O 599 224-A1
`JP—O1179471-A
`JP-5043913-C1
`JP—554898-A
`JP-09027642-A
`JP-08007614-A
`JP-07176794-A
`JP—O7099345—A
`JP-05152609
`JP—6220237-A
`wo—97/5o132—A1
`wo-98/12757-A1
`JP—5079379
`JP-742152
`JP-4717684
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`JP-49112577
`JP-62189770
`JP—29198O
`JP-5152609-A
`JP—5—183189-A
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`01-12-1974
`10-26-1974
`02-15-1986
`09-29-1988
`06-18-1993 '
`07-23-1993 Nichia Kagaku Kogyo Kk
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`
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`03-08-1996
`JP—10036835—A
`‘L02-10-1998
`[JP-49106263
`12-27-1972
`JP-5245181
`10-14-1977
`GB-1589964
`O5-20-1981
`JP-5441660
`I_12-05-1979
`JP-5472484
`11-07-1978
`[JP-5950445
`04-O1-1984i
`JP—324692
`03-14-1991
`JP-463162
`05-29-1992
`JP—463163
`05-29-1992
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`07-30-1985
`JP-60144381
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`07-23-1987
`JP-62167387
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`07-26-1994
`JP-6208845
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`06-24-1994
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`BM3
`JP-6-296043-A
`L_
`09-02-1992
`BM4
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`the item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
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`"White LED lamp: Efficient light-emitting; Manufacture cost half‘, Nikkei Sangyo Shimbun,
`September 13, 1996, Published by Nihon Keizai Shimbunsha.
`"SlMENS SMT-TOPLED fur die Oberflachenmontage" Frank Mollmer et al. Simens
`Ccfliponents, 29 (1_991_)Hfet 4.
`"Proceedings of the Institute of Phosphor Society", Translation of pages 1, 5 to 14 ofthe 264th
`Proceedings of the institute of Phosp_hor SocietLNov. 29, 1996.
`"Nichia Chemical starts the sample shipment of white light emitting diode", News Report,
`translation of pa_ge 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)
`"Proceedings of the Institute of Phosphor Society", Translation of pages 1, 5 to 14 of the 264th
`Proceedings of the institute of Phosphor Society._
`"A New Phosphor for Flying—Spot Cathode—Ray Tubes for Color Television: Yellow Emitting..",
`G. Blasse et al., App. Pllys. Lett. Vol. 11, No. 2, 3&5?»-55 (1967)
`Y. Neyatani, Color Research &Appl_ication, Vol. 20, No. 3, June 1995,_g). 143-155.
`WUSTLICH MlKRO—/OPTO—ELEKTRONlK GMBH (1994/1995)
`
`
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`Examiner
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`W.W. Holloway, Jr. et at., "Optical Properties of Cerium—Activated Garnet Crystals", 1969
`Journal of the Optical Society ofAmerica, Vol. 59, No. 1, pp. 60-63
`W.W. HOLLOWAY, Jr. et al., "On The Fluorescence of Cerium - Activated Garnet Crystals",
`CL
`Physics Letters, Vol. 25A, No. 8, 23 October 19613. 614-615.
`F
`CM W.J. MINISCALCO et al., "Measurements of Excited-State Absorption in Ce3+:YAGa)", J.
`Appl. Phys