UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVIISSIONER FOR PATENTS
`P O Box 1450
`Alexandria. Virginia 2231371450
`www usptogov
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`13771310
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`05/06/2010
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`Fredric S. Maxilc
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`LSG0347USZ
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`9888
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`7590
`15915
`Cantor Colburn LLP—LSG
`20 Church Street, 22 F1.
`Hartford, CT 06103—3207
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`1011212011
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`Notice of the Office communication was Sent electronically on above—indicated "Notification Date" to the
`following e—mail address(es):
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`
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`Please find below andfor attached an Office communication concerning this application or proceeding.
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`The time period for reply, if any, is Set in the attached communication.
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`NOTIFICATION DATE
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`DELIVERY MODE
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`10/12l2011
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`ELECTRONIC
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`usptopatenlmail©cantorcolburn.com
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`PTOL—9OA (Rev. 04/07)
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`PETITIONERS, Ex. 1006; PG. 1
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`PETITIONERS, Ex. 1006; PG. 1
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`

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`Office Action Summary
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`Application No.
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`Applicant(5)
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`
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`12/775,310
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`Examiner
`ALI ALAVI
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`_
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`MAXIK ET AL.
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`Art Unit
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`2875
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`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
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`A SHORTENED STATUTORY PERtOD FOR REPLY IS SET TO EXPIRE a MONTH (8) OR THERTY (30) DAYS,
`WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
`- Extensions of time may be available under the provisions of 37 CPR 1.136(a).
`in no event, however, may a reply be timely filed
`after SIX (5) MONTHS from the mailing date of this communication.
`if NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication
`Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, even iitimely flied, may reduce any
`earned patent term adjustment. See 3? CFR 1.704(b).
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`—
`-
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`Status
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`1)|:I Responsive to communication(s) filed on _.
`2a)|:l This action is FINAL.
`2b) This action is non—final.
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`3)|:| An election was made by the applicant in response to a restriction requirement set forth during the interview on
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`_; the restriction requirement and election have been incorporated into this action.
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`4)I:| Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
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`closed in accordance with the practice under Ex parte Quayle, 1935 CD. 11, 453 0.6. 213.
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`Disposition of Claims
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`5% Claim(s) fl is/are pending in the application.
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`5a) Of the above Claim(s) __ is/are withdrawn from consideration.
`6)I:I Claim(s) _ is/are allowed.
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`7) Claim(s ng is/are rejected.
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`is/are objected to.
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`are subject to restriction and/or election requirement.
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`Application Papers
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`10)D The specification is objected to by the Examiner.
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`11) The drawing(s) filed on _ is/are: a)l:[ accepted or b)l___l objected to by the Examiner.
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`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85( ).
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`Replacement drawing sheetts) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`12)|:| The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.
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`Priority under 35 U.S.C. § 119
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`13)I:| Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119( )~(d) or (f).
`a)|:i All ml] Some * c)l:l None of:
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`1.1:) Certified copies of the priority documents have been received.
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`2.1:) Certified copies of the priority documents have been received in Application No. __
`3.1:! Copies of the certified copies of the priority documents have been received in this National Stage
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`application from the International Bureau (PCT Rule 17.2( )).
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`* See the attached detailed Office action for a list of the certified copies not received.
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`Attach mentts)
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`1) E Notice of References Cited (PTO-892)
`2) El Notice of Draftsperson's Patent Drawing Review (PTO-948)
`3) E] information Disclosure Statement(s) (PTorseroa)
`Paper No(s)i'MaiI Date 3/0371 1‘
`U S, Patent and Trademark Office
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`4) Ci Interview Summary (PTO-413)
`Paper No(s)fMai| Date,
`5) I:I Notice of Informal Patent Application
`6) I: Other:
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`PTOL-326 (Rev. 03-11)
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`Olfice Action Summary
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`Part of Paper NoJMail Date 20111003
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`PETITIONERS, Ex. 1006; PG. 2
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`) )
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`( (
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`8)D Claim 8
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`9)D Claim 5)
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`PETITIONERS, Ex. 1006; PG. 2
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`

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`Application/Control Number: 12/775,310
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`Art Unit: 2875
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`DETAILED ACTION
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`Claim Rejections - 35 USC § 102
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`(e) the invention was described in (1) an application for patent, published under section 122(b), by another filed in the United
`States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the
`United States before the invention by the applicant for patent, except that an international application filed under the treaty
`defined in section 351 (a) shall have the effects for purposes of this subsection of an application filed in the United States only if
`the international application designated the United States and was published under Article 21(2) of such treaty in the English
`language.
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`
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`The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that
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`form the basis for the rejections under this section made in this Office action:
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`A person shall be entitled to a patent unless —
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`(b) the invention was patented or described in a printed publication in this or a
`foreign country or in public use or on sale in this country, more than one year
`prior to the date of application for patent in the United States.
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`Claims 1—8, and 10—16 are rejected under 35 U.S.C. 102(b) as being anticipated
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`by Roberge et al (W0 20081137732).
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`Regarding claim 1, Roberge discloses a luminaire (figs. 3a, 3b), comprising: a
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`heat spreader (330) and a heat sink (320) thermally coupled to and disposed
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`diametrically outboard of the heat spreader; an outer optic (315)3ecurely retained
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`relative to at least one of the heat spreader and the heat sink, and a light source
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`disposed in thermal communication with the heat spreader, the light source comprising
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`a plurality of light emitting diodes (LEDs); wherein the heat spreader, the heat sink and
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`the outer optic, in combination, have an overall height H and an overall outside
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`dimension D such that the ratio of H/D is equal to or less than 0.25; wherein the
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`combination defined by the heat spreader, the heat sink and the outer optic, is so
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`dimensioned as to: cover an opening defined by a nominally sized four—inch can light
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`PETITIONERS, Ex. 1006; PG.
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`PETITIONERS, Ex. 1006; PG. 3
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`

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`Application/Control Number: 12/775,310
`Art Unit: 2875
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`Page 3
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`fixture; and, cover an opening defined by a nominally sized four«inch electrical junction
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`boxisbi
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`Regarding claim 2, Roberge further discloses that the heat spreader and the heat
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`sink are integrally formed such that a heat flow path from the light source through the
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`heat spreader to the heat sink is continuous and uninterrupted (fig. 3a).
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`Regarding claim 3, Roberge further discloses that 3.The luminaire of Claim 1,
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`further comprising: a power conditioner mechanically supported by the heat spreader,
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`'
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`the power conditioner being configured and disposed to receive AC voltage from an
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`electrical supply line and to deliver DC‘ voltage to the plurality of LEDs.
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`
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`Regarding claim 4, Roberge further discloses that a reflector disposed on the
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`heat spreader, the reflector having an aperture in which the plurality of LEDs are
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`disposed (fig. 3a, 0094).
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`Regarding claim 5, Roberge further discloses that the heat spreader comprises
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`mounting holes suitably spaced apart to receive mounting fasteners to secure the heat
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`spreader to an electrical junction box.
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`Regarding claim 6, Roberge further discloses that he heat spreader comprises
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`mounting holes and the reflector comprises mounting holes suitably spaced apart to
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`receive mounting fasteners to secure the heat spreader to an electrical junction box
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`(3b).
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`Regarding claim 7, Roberge further discloses that further comprising: a
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`mounting bracket; and a power conditioner, the power conditioner being configured and
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`disposed to receive AC voltage from an electrical supply line and to deliver DC voltage
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`PETITIONERS, Ex. 1006; PG. 4
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`PETITIONERS, Ex. 1006; PG. 4
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`Application/Control Number: 12/775,310
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`Art Unit: 2875
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`Page 4
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`bracket on one side thereof, and the heat spreader and heat sink are supported by the
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`mounting bracket on another opposing side thereof; and wherein the mounting bracket
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`comprises mounting holes disposed to secure the luminaire to an electrical junction box
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`(0097).
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`Regarding claim 8, Roberge further discloses that at least one torsion spring
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`configured and disposed so as to secure the luminaire to a can light fixture (fig. 3b).
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`Regarding claim 10, Roberge further discloses that the power conditioner is
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`disposed on an opposite side of the heat spreader as the plurality of LEDs, the power
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`conditioner being so dimensioned as to fit within: a nominally sized four—inch can light
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`fixture; and, a nominally sized four-inch electrical junction box (0097).
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`Regarding claim 11, Roberge further discloses that comprising: an inner optic
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`disposed over the plurality of LEDs (fig. 3a).
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`Regarding claim 12, Roberge further discloses that the inner optic is integrally
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`formed with the reflector (fig. 3a).
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`to the plurality of LEDs; wherein the power conditioner is supported by the mounting
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`
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`Regarding claim 13, Roberge further discloses that the inner optic comprises a
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`color mixing diffuser (fig. 3b).
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`Regarding claim 14, Roberge further discloses that a phosphor disposed over the
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`plurality of LE Ds comprising material to produce a color temperature output of 2700
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`deg-Kelvin (0100)
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`Regarding claim 15, Roberge further discloses that a trim ring; wherein the outer
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`optic is securely retained relative to at least one of the heat spreader and the heat sink
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`PETITIONERS, Ex. 1006; PG. 5
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`PETITIONERS, Ex. 1006; PG. 5
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`ApplicationfConfl'ol Number: 12/775,310
`Art Unit: 2875
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`‘
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`Page 5
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`via fasteners; and wherein the trim ring snap-fits onto the outer optic in such a manner
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`as to cover the fasteners securely retaining the outer optic (3a).
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`Regarding claim 16, Roberge further discloses that the heat spreader and the
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`
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`heat sink are integrally formed to define a base, wherein a back side of the base
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`comprises a plurality of heat sink fins and air flow channels configured and disposed to
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`transport heat generated by the light source away from the light source (3b).
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`Claims 1-3, 7-10, and 17-20 are reiected under 35 U.S.C. 102(b) as being
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`anticipated by Chou (US 2009/0086474).
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`Regarding claims 1 and 17-19, Chou discloses a luminaire (figs 4a, 4b) a heat
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`spreader (12) and a heat sink (14) thermally coupled to and disposed diametrically
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`outboard of the heat spreader; an outer optic (23) securely retained relative to at least
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`one of the heat spreader and the heat sink (14) and a light source disposed in thermal
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`communication with the heat spreader, the light source comprising a plurality of light
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`emitting diodes (LEDs 15), wherein the heat spreader, the heat sink and the outer optic,
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`in combination, have an overall height H and an overall outside dimension D such that
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`the ratio of HID is equal to or less than 0.25; wherein the combination defined by the
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`heat spreader, the heat sink and the outer optic, is so dimensioned as to: cover an
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`opening defined by a nominally sized four-inch can light fixture; and, cover an opening
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`defined by a nominally sized four—inch electrical junction box (4a).
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`PETITIONERS, Ex. 1006; PG. 6
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`PETITIONERS, Ex. 1006; PG. 6
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`Application/Control Number: 12/775,310
`Art Unit: 2875
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`Page 6
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`I
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`Regarding claim 2, Chou further teaches that the heat spreader and the heat sink
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`are integrally formed such that a heat flow path from the light source through the heat
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`spreader to the heat sink is continuous and uninterrupted (4a, 0028).
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`Regarding claim 3, Chou further teaches that a power conditioner mechanically
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`supported by the heat spreader, the power conditioner being configured and disposed
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`toreceive AC voltage from an electrical supply line and to deliver DC voltage to the
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`
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`Regarding claim 8, Chou further teaches that at least one torsion spring
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`plurality of LEDs (0028).
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`Regarding claim 7, Chou further teaches that e luminaire of Claim 1, further
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`comprising: a mounting bracket; and a power conditioner, the power conditioner being
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`configured and disposed to receive AC voltage from an electrical supply line and to
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`deliver DC voltage to the plurality of LEDs;
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`wherein the power conditioner is supported by the mounting bracket on one side
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`thereof, and the heat spreader and heat sink are supported by the mounting bracket on
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`another opposing side thereof; and wherein the mounting bracket comprises mounting
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`holes disposed to secure the luminaire to an electrical junction box.
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`configured and disposed so as to secure the luminaire to a can light fixture.
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`Regarding claim 9, Chou further teaches that the power conditioner is disposed
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`on a same side of the heat spreader as the plurality of LEDs (4b).
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`Regarding claims 10 & 20, Chou further teaches that the power conditioner is so
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`dimensioned as to fit completely within at least one of: a nominally sized four-inch can
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`light fixture; and, a nominally sized four—inch electrical junction box.
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`PETITIONERS, Ex. 1006; PG. 7
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`PETITIONERS, Ex. 1006; PG. 7
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`

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`Application/Control Number: 12/775,310
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`Art Unit: 2875
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`Conclusion
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`The prior art made of record and not relied upon is considered pertinent to
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`applicant’s disclosure.
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`Any inquiry concerning this communication or earlier communication from the
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`examiner should be directed to Ali Alavi whose telephone number is (571) 272-2365.
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`The examiner can normally be reached between 7:00 AM. to 5:30 PM. Tuesday to
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`Friday. If attempts to reach the examiner by phone are unsuccessful, the examiner’s
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`supervisor, Diane Lee can be reached at (571) 272-2399 or you may fax your inquiry to
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`
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`the Central Fax at (571) 273-8300.
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`Information regarding the status of an application may be obtained from the
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`Patent Application Information Retrieval (PAIR) system. Status information for published
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`applications may be obtained from either Private PAIR or Public PAIR. Status
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`information for unpublished applications is available through Private PAIR only. For
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`more information about the PAIR system, see http://pair—direct.usptogov. Should you
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`have questions on access to the Private PAIR system, contact the Electronic Business
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`Center (EBC) at 866-217—9197 (toll-free).
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`IAIi Alavi/
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`Primary Examiner, Art Unit 2875
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`PETITIONERS, Ex. 1006; PG. 8
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`PETITIONERS, Ex. 1006; PG. 8
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