UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`TCL MULTIMEDIA TECHNOLOGY HOLDINGS LIMITED AND
`TTE TECHNOLOGY, INC.,
`Petitioners
`v.
`NICHIA CORPORATION,
`Patent Owner
`____________
`U.S. Patent No. 8,309,375
`
`“Light Emitting Device and Display”
`____________
`Inter Partes Review No. 2017-02001
`____________
`
`DECLARATION OF DR. ERIC BRETSCHNEIDER
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF U.S.
`PATENT NO. 8,309,375
`
`
`
`
`TCL 1003, Page 1
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`TABLE OF CONTENTS
`
`Page
`
`D.
`E.
`
`BACKGROUND AND QUALIFICATIONS ................................................... 1
`I.
`II. ASSIGNMENT AND MATERIALS REVIEWED .......................................... 3
`III. STATE OF THE ART ........................................................................................ 8
`A.
`The Principles of Color Mixing ............................................................ 8
`B. Measuring Color .................................................................................. 10
`C.
`In 1996, YAG Phosphors Were Well Known For Converting
`Blue Emissions To Yellow In Lighting Products ............................... 13
`Emergence of Commercially Viable Blue LEDs ................................ 24
`The Blue Plus Yellow Approach to Making A White LED was
`a Natural and Obvious Progression ..................................................... 26
`IV. THE ‘375 PATENT .......................................................................................... 26
`A.
`The ‘375 Patent Specification ............................................................. 26
`B.
`Prosecution History for the ‘375 Patent .............................................. 28
`CLAIMS OF THE ‘375 PATENT ................................................................... 29
`V.
`VI. CLAIM CONSTRUCTION ............................................................................. 30
`A.
`Legal Standards for Means-Plus-Function Claims ............................. 33
`B.
`Interpretation of the terms of the Challenged claims .......................... 35
`VII. PATENTABILITY ANALYSIS ...................................................................... 35
`A.
`Legal Standards for Patentability ........................................................ 35
`B.
`The Cited Prior Art .............................................................................. 39
`1.
`Baretz ........................................................................................ 39
`2.
`Shimizu ..................................................................................... 40
`3.
`Pinnow ...................................................................................... 43
`4.
`Tadatsu ...................................................................................... 45
`5.
`Nakamura .................................................................................. 46
`6.
`Blasse ........................................................................................ 47
`The Prior Art Gives a POSITA A Roadmap to the Claimed
`White Light LED ................................................................................. 48
`
`C.
`
`
`
`i
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`(b)
`
`E.
`
`D. Ground 1: Claims 1 and 4 are obvious over Baretz, Pinnow and
`Rossotti ................................................................................................ 50
`1.
`Baretz Shimizu and Pinnow Disclose 1.Pre.............................. 52
`2.
`Baretz Discloses 1a ................................................................... 54
`3.
`Baretz, Shimizu and Pinnow Disclose 1b ................................. 56
`(a) Baretz and Shimizu disclose a phosphor that
`absorbs part of the blue LED light, emits yellow
`and “selecting” the phosphor. ......................................... 56
`(i)
`Baretz .................................................................... 56
`(ii) Shimizu ................................................................. 58
`Pinnow discloses a phosphor with the claimed
`“peak” wavelength and “tail.” ........................................ 64
`Shimizu Discloses 1c ................................................................ 65
`Rossotti Discloses 1d ................................................................ 66
`Baretz Shimizu and Pinnow Disclose claim 4 .......................... 69
`A POSITA Would have been Motivated to Combine
`Baretz, Shimizu and Pinnow And Rossotti, With a
`Reasonable Expectation Of Success ......................................... 69
`Ground 2: Claims 1 and 4 are obvious over Tadatsu,
`Nakamura, Shimizu, Blasse, and Rossotti .......................................... 76
`1.
`Tadatsu Discloses 1.Pre ............................................................ 77
`2.
`Tadatsu and Nakamura Disclose Limitation 1a ........................ 78
`3.
`A POSITA Would Have Been Motivated To Combine
`Combined Tadatsu and Nakamura, WithA Reasonable
`Expectation Of Success ............................................................. 80
`Tadatsu, Shimizu and Blasse Disclose 1b ................................ 82
`(a)
`Shimizu discloses a phosphor that absorbs part of
`the blue LED light, emits yellow and “selecting”
`the phosphor. ................................................................... 82
`(b) Blasse discloses a phosphor with the claimed
`“peak” wavelength and “tail.” ........................................ 83
`
`4.
`5.
`6.
`7.
`
`4.
`
`
`
`ii
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`(c) A POSITA Would Have Been Motivated To
`Combine Combine Tadatsu, Shimizu and Blasse,
`With a Reasonable Expectation Of Success ................... 84
`Shimizu Discloses 1c ................................................................ 89
`Rossotti Discloses 1d ................................................................ 89
`Shimizu Discloses 1e ................................................................ 90
`Tadatsu, Nakamura, Shimizu, and Blasse Disclose claim
`4 ................................................................................................. 91
`VIII. CONCLUSION ................................................................................................. 91
`
`5.
`6.
`7.
`8.
`
`
`
`iii
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`TCL 1003, Page 4
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`I, Eric Bretschneider, do hereby declare and state as follows:
`
`I.
`
`BACKGROUND AND QUALIFICATIONS
`
`1.
`
`I have over 25 years of experience with lighting and LEDs, including a
`
`comprehensive background on the full range of LED production technologies,
`
`including MOCVD hardware/process, fabrication, LED chip and package testing
`
`and reliability, optical design, thermal management, color conversion, and SSL
`
`fixture/lamp design, integration, and reliability.
`
`2.
`
`I am currently the Chief Technology Officer at EB Designs &
`
`Technology. In that capacity, I am (among other things) responsible for the design
`
`of solid-state lighting technologies for clients ranging from startups to Fortune 100
`
`companies.
`
`3.
`
`I am also currently a member of the University of Florida Department
`
`of Chemical Engineering Advisory Board. And I have been a Conference Chair for
`
`LED Measurement and Standards. I am also a member of a number of professional
`
`societies, including SPIE, Materials Research Society, Illuminating Engineering
`
`Society (including a member of numerous committees, including the IES test
`
`procedures committee).
`
`4.
`
`Prior to my position at EB Designs & Technology, I served as the
`
`Director of Engineering at HeathCo, LLC. In that capacity, I was responsible for
`
`advanced technology/product development related to solid state lighting, sensors,
`
`
`
`
`-1-
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`TCL 1003, Page 5
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`notifications and control products.
`
`5.
`
`Prior to my position as Director of Engineering at HeathCo, I was
`
`positioned at the Elec-Tech International Co., Ltd., where I held the positions of
`
`Chief Engineer, ETi Lighting Research Institute and VP of Research and
`
`Development, ETi Solid State Lighting. In that capacity, my responsibilities
`
`included developing all technology and product roadmaps for markets in North
`
`America, China, Europe, and Japan.
`
`6.
`
`Between 2008 and 2011, I was positioned at Lighting Science Group
`
`Corp., first as a product development manager, and my responsibilities included
`
`developing solid state lighting products, then as VP of Research, and my
`
`responsibilities
`
`included
`
` developing advanced LED models for product
`
`development and production control.
`
`7.
`
`Between 2004 and 2008, I was positioned at Toyoda Gosei North
`
`America, where I was a sales manager, and my responsibilities included managing
`
`and developing LED die and package sales accounts form the eastern region of North
`
`America.
`
`8.
`
`Between 2003 and 2004, I was positioned at Beeman Lighting, where I
`
`was Director of Solid State Lighting Engineering, and my responsibilities included
`
`leading development of solid state lighting systems and materials.
`
`9.
`
`I have also authored and presented more than a total of 30 publications,
`
`
`
`2
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`presentations, and seminars, and I am a named inventor on 30 issued patents and
`
`over 25 pending patents.
`
`10.
`
`I have held various other positions, in addition to pursuing my Ph.D
`
`between 1989, when I earned my BSE in Chemical Engineering from Tulane
`
`University in 1989, and 2003. I earned a Ph.D. in Chemical Engineering from the
`
`University of Florida in 1997, where my graduate work focused on development of
`
`optoelectronic devices, including novel silicon based visible LEDs , sulfide based
`
`TFELD structures and ZnSe blue LEDs.
`
`11. Based on the above education and experience, I believe that I have a
`
`detailed understanding of the state of the art during the relevant period, as well as a
`
`sound basis for opining how persons of skill in the art at that time would understand
`
`the technical issues in this case.
`
`12.
`
`I presently hold over 30 patents related to LED technology.
`
`13. A copy of my curriculum vitae is attached hereto as Appendix A.
`
`II. ASSIGNMENT AND MATERIALS REVIEWED
`
`14.
`
`I submit this declaration in support of the petition for Inter Partes
`
`Review of U.S. Patent No. 8,309,375 (“the ‘375 patent”) submitted by TCL
`
`Multimedia Technology Holdings Limited and TTE Technology, Inc. (collectively,
`
`“TCL”).
`
`15.
`
`I am not an employee of TCL or of any affiliate or subsidiary thereof.
`
`
`
`3
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`16.
`
`I am being compensated for my time at the rate of $650 per hour.
`
`17. My compensation is in no way dependent upon the substance of the
`
`opinions I offer below, or upon the outcome of TCL’s petition for Inter Partes
`
`review (or the outcome of the Inter Partes review, if trial is instituted).
`
`18.
`
`I have been asked to provide certain opinions relating to the
`
`patentability of the ‘375 patent. Specifically, I have been asked to provide my
`
`opinions regarding (i) the level of ordinary skill in the art to which the ‘375 patent
`
`pertains, and (ii) whether claims 1 and 4 of the ‘375 patent are anticipated by or
`
`would have been obvious in view of the prior art.
`
`19. The opinions expressed in this declaration are not exhaustive of my
`
`opinions on the patentability of claims 1 and 4 of the ‘375 patent. Therefore, the
`
`fact that I do not address a particular point should not be understood to indicate any
`
`opinion on my part that any claim otherwise complies with the patentability
`
`requirements.
`
`20.
`
`In forming my opinions, I have reviewed the ‘375 patent and its
`
`prosecution history, and the art cited during its prosecution history, as well as prior
`
`art to the ‘375 patent including:
`
`a) U.S. Patent No. 6,600,175 (“Baretz”) (Ex. 1005)
`
`b) Japanese Examined Patent Application Publication No. H08-7614 (“Ex.
`
`1006”)
`
`
`
`4
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`c) Certified Translation of Japanese Examined Patent Application Publication
`
`No. H08-7614 (“Shimuzu”) (“Ex. 1007”)
`
`d) Japanese Unexamined Patent Application Publication No. H07-99345 (Ex.
`
`1008)
`
`e) Certified Translation of Japanese Unexamined Patent Application Publication
`
`No. H07-99345 (“Matoba”) (Ex. 1009)
`
`f) Japanese Laid Open Patent Application Publication No. H05-152609 (Ex.
`
`1010)
`
`g) Certified Translation of Japanese Laid Open Patent Application Publication
`
`No. H05-152609 (“Tadatsu”) (Ex. 1011)
`
`h) U.S. Patent No. 3,699,478 to Pinnow et al. (“Pinnow”) (Ex. 1012)
`
`i) U.S. Patent No. 3,816,576 to Auzel (“Auzel”) (Ex. 1013)
`
`j) U.S. Patent No. 5,796,376 to Banks (“Banks”) (Ex. 1014)
`
`k) Nakamura et. al., “High-power InGaN single-quantum-well-structure blue
`
`and violet light-emitting diodes,” Appl. Phys. Lett. 67 (13), 25 September
`
`1995 (“Nakamura”) (Ex. 1015)
`
`l) . Blasse et al., “Luminescent Materials,” Springer-Verlag (New York), 1994
`
`(“Blasse”) (Ex. 1016)
`
`m) W. O’Mara, “Liquid Crystal Flat Panel Displays,” Van Nostrand Reinhold,
`
`New York (1993) (“O’Mara”) (Ex. 1017)
`
`
`
`5
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`n) M. Hoffman, “Improved color rendition in high pressure mercury vapor
`
`lamps,” Journal of the Illuminating Engineering Society, Vol. 6 No. 2, Jan.
`
`1997 (“Hoffman”) (Ex. 1021)
`
`o) U.S. Patent No. 3,691,482 to Pinnow et al. (Ex. 1022)
`
`p) H. Rossotti, “Colour,” Princeton University Press, 1983 (Ex. 1023)
`
`q) S. Nakamura et al., “Candela-class high brightness InGaN/AlGaN double-
`
`heterostructure blue-light emitting diodes,” Applied Physics Letters, No. 64
`
`No. 13 (Mar. 28, 1994) (Ex. 1024)
`
`r) G. Blasse et al., “A New Phosphor for Flying-Spot Cathode-Ray Tubes for
`
`Color Television: Yellow-Emitting Y3Al5O12-Ce3+, Applied Physics Letters,
`
`Vol. 11 No. 2 (Jul. 15, 1967) (Ex. 1025)
`
`s) G. Blasse et al, “Investigation of Some Ce3+-Activated Phosphors,” The
`
`Journal of Chemical Physics, Vol. 47 No. 12 (Dec. 15, 1967) (Ex. 1026)
`
`t) D.A. Pinnow et al., “Photoluminescent Conversion of Laser Light for Black
`
`and White and Multicolor Displays,” Applied Optics (Jan. 1971) (Ex. 1027)
`
`u) Herbert Maruska, Dissertation, Gallium Nitride Light-Emitting Diodes,
`
`Chapter 1 (Nov. 1974) (“Maruska”) (Ex. 1028)
`
`v) U.S. Patent No. 4,727,283 to van Kemenade et al. (“Phillips”) (Ex. 1026)
`
`w) U.S. Patent No. 3,740,570 to Kaelin et al. (“Kaelin”) (Ex. 1030)
`
`x) U.S. Patent No. 4,090,189 to Fisler (“Fisler”) (Ex. 1030)
`
`
`
`6
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`y) U.S. Patent No. 3,819,974 to Stevenson et al. (“Stevenson”) (Ex. 1031)
`
`21. Likewise, in forming my opinions, I have reviewed the materials listed
`
`below:
`
`a) German Patent Application No. DE 19638667 A1 to Schlotter et al. (Ex.
`
`1018)
`
`b) Certified Translation of German Patent Application No. DE 19638667 A1 to
`
`Schlotter et al. (“Osram”) (Ex. 1019)
`
`c) U.S. Patent No. 7,078,732 to Reeh et al. (Ex. 1020)
`
`d) Class for Physics of the Royal Swedish Academy of Sciences, “Efficient Blue
`
`Light-Emitting Diodes Leading to Bright and Energy-Saving White Light
`
`Sources,” Kungl. Vetenskaps-Akademien (Oct. 7, 2014) (Ex. 1033)
`
`e) In re Cree Re-examination Examiner Decision (Ex. 1034)
`
`f) Trial Transcript in Everlight et al. v. Nichia Corp. et al., No. 12-cv-11758
`
`(E.D.Mich. Apr. 17, 2015) (Ex. 1035)
`
`g) U.S. Patent No. 7,531,960 to Shimizu et al (“’960 patent”) (Ex. 1036)
`
`h) U.S. Patent No. 5,998,925 to Shimizu et al (“’925 patent”) (Ex. 1037)
`
`i) BASF – The Chemical Company: Lumogen® F Yellow 083 Data Sheet (Ex.
`
`1038)
`
`j) BASF – The Chemical Company: Lumogen® F Orange 240 Data Sheet (Ex.
`
`1039)
`
`
`
`7
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`k) Sinloihi’s EL Color Conversion Pigment – FA-000 Series (Ex. 1040)
`
`l) Institution Decision in IPR2017-00551 (Ex. 1041)
`
`m) Institution Decision in IPR2017-00552 (Ex. 1042)
`
`n) Institution Decision in IPR2017-00556 (Ex. 1043)
`
`o) Institution Decision in IPR2017-00558 (Ex. 1044)
`
`22. My intent in listing the above materials is to provide as complete a list
`
`as possible, but have not listed each and every piece of information I have reviewed.
`
`III. STATE OF THE ART
`
`A. The Principles of Color Mixing
`
`23. The principles of color mixing have been known for over 300 years. In
`
`1704, Isaac Newton published a paper on mixing colors to create other colors. Color
`
`is detected in the eye by cells in the retina that are sensitive to red, green, and blue
`
`light, which are the only colors that the eye perceives; all other colors are mixtures
`
`of red, green, and blue.
`
`24. More generally, individuals have understood for centuries that various
`
`colors of light can be created by mixing light. These principles have been well-
`
`known for over 300 years since, in 1704, since described by Isaac Newton in 1704;
`
`for instance, Newton pointed out that “white” light could be produced by mixing
`
`blue and yellow light or by mixing red, green, and blue light. Color is detected in
`
`the human eye by cells in the retina that are sensitive to red, green, and blue light.
`
`
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`8
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`These are the only colors that the human eye is capable of perceiving; all other colors
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`are mixtures of red, green, and blue.
`
`25. Different colors and mixes of colors correlate to different given
`
`wavelengths, as shown in the following chart:
`
`
`
`26. For example, as shown in the chart above, light having a wavelength of
`
`between 560 and 590 is perceived as shades of yellow, even if the perceived
`
`“yellow” light is generated by mixing green and red. Humans perceive white when
`
`the red, green, and blue cones within the eye are stimulated roughly equally. This is
`
`reflected by white appearing in the center of the color wheel, shown below:
`
`
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`9
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`
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`27. As shown in the color wheel, white light can be generated in different
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`ways, such as by mixing roughly equal parts red, green, and blue; or by mixing blue
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`and yellow, which itself is a mixture of red and green. In Newton’s paper published
`
`in 1704, he described this basic principle – how white can be made either by mixing
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`equal parts red, green, and blue or by combining blue and yellow.
`
`B. Measuring Color
`
`28. Color technology was developed and refined to the point that the first
`
`chromaticity diagrams were developed in the 1920s and 1930s. A chromaticity
`
`diagram reduces color mixing from an art to a science—precision and
`
`reproducibility are possible on such a diagram merely by setting out a set of x,y
`
`coordinates. Id. This precision relates to measurement of the light produced by a
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`light source and its interaction with an object under the light source, but not
`
`necessarily to subjective human judgment about the quality of a color. Id.
`
`
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`10
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`29.
`
` In particular, in 1931, the International Commission for Illumination
`
`(CIE) devised a chromaticity diagram. The CIE is the standards body that defines
`
`the “standard observer” and the CIE chromaticity curve. This diagram quantifies
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`the relationship between physical pure colors (e.g., wavelengths) and the visible
`
`spectrum, as perceived by the human eye. A line connecting any two primary colors
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`on the x and y plane will show the possible colors visible by combining those two
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`colors. In the below chart, for example, a line drawn between yellow light (550nm)
`
`and blue light (450nm) shows that those two colors will combine to make a white
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`light. Adding more yellow to the blue-yellow combination will produce a more
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`yellowish colored white, while adding more blue will produce a more blueish-
`
`colored white. This CIE diagram was published, for example, in Rossotti, in 1983
`
`(Ex. 1023, 156):
`
`
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`
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`30. As shown in this diagram, adding more yellow to the blue-yellow
`
`combination will produce a more yellowish colored white, while adding more blue
`
`will produce a more blueish-colored white. See also, Ex.1022, 2:66-3:3 (“Every real
`
`color, regardless of its spectral complexity, can be represented by a single point on
`
`or within this ploy. A straight line connecting any two points (primaries)
`
`represents the locus of possible colors that can be achieved by blending them in
`
`varying proportions.”) (emphasis added).
`
`
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`12
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`C.
`
`In 1996, YAG Phosphors Were Well Known For Converting Blue
`Emissions To Yellow In Lighting Products
`
`31. A phosphor absorbs light of one color and emits light of a different
`
`color. Because of this unique property, phosphors have been commonly used since
`
`at least the 1930s to mix colors. This color mixing is accomplished by placing a
`
`phosphor over a light source where the phosphor converts a portion of the light
`
`emitted by the light source to a different color and the remainder of light is emitted
`
`unaltered. The overall effect is the emission of light of two different colors, which
`
`will be perceived by the eye as a mixture of these two colors.
`
`32. Color-conversion of LEDs using phosphors, in particular, has been
`
`used since at least the 1960s. The first high-efficiency LEDs emitted in infrared,
`
`and researchers used phosphors to convert infrared to visible light, including colors
`
`like blue and green. Since that time, there has been a continual effort to improve the
`
`efficiency of LEDs, find new phosphor materials, and improve the efficiency of
`
`phosphor materials. This trend parallels the development of lighting sources and
`
`phosphors for fluorescent light, where most efforts were focused on making “white”
`
`light because of market expectations. Fluorescent light laid the foundation of
`
`conversion from short to long wavelength light. Id.
`
`33. As part of the research on color-conversion of light from short to long
`
`wavelengths, individual researchers developed materials commonly referred to as
`
`“YAG” phosphors (among other rare-earth based phosphors) in the 1960s as one of
`
`
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`the finite number of design choices for particular types of conversions. At the time,
`
`these researchers were exploring the use of YAG and other rare-earth based
`
`phosphors for applications such as fluorescent tubes, incandescent lamps, and
`
`displays. YAG was discovered in the 1960s by G. Blasse and A. Bril, researchers at
`
`Philips Research. Below I set forth just some of the relevant disclosures from this
`
`work, showing that YAG was known as proper substance for use in high-temperature
`
`environments with high light output, and specifically was suited for use with light
`
`of the range of wavelengths that would eventually be produced by GaN or InGaN
`
`LEDs:
`
` Blasse & Bril, 1967: “Y3Al5O12-Ce shows a bright yellow emission under
`
`excitation with cathode rays as well as with blue radiation…. The emission
`
`from Y3Al5O12-Ce under cr [cathode ray] excitation … lies almost entirely in
`
`the visible with a broad band peaking at 550 nm…. Figure 2 shows that
`
`Y3Al5O12-Ce is most efficiently excited by 460 nm radiation. Ex. 1018 at 53-
`
`54. They explained that “YAG is most efficiently excited by 460 nm
`
`radiation,” which means that YAG is excited by a blue light source. Id., p.
`
`
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`54. Another key YAG characteristic was that it showed “a bright yellow
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`emission.” Id., p. 53.1
`
` Hoffman, 1977: “The YAG:Ce phosphor is not excited by 254 nanometers
`
`and only weakly by 365 nanometers from the Hg arc. The excitation spectra
`
`… shows the very strong dependence of the emission intensity on the 436-nm
`
`Hg radiation.” “The emission of the phosphor is in a band peaking at about
`
`540 nanometers at 25° C shifting to about 560 nanometers at 300° C…. This
`
`is at the maximum eye sensitivity and close to the calculated peak of 590 nm
`
`for good lumen output in the system.” Ex. 1021,91.
`
` Pinnow, 1972: “From the compositional standpoint, a preferred embodiment
`
`of the invention utilizes a screen coated with cerium-doped yttrium aluminum
`
`garnet (YAG) energized by an argon-ion laser arranged so as to emit at 4,880
`
`Ǻ. The cerium-activated phosphor emits over a broad range of wavelengths
`
`
`1 I am very familiar with the Blasse & Bril (June 1967) and Blasse & Bril
`
`(December 1967) publications, and have previously reviewed them in a professional
`
`capacity prior to my involvement in this proceeding. Based on that review, I have
`
`determined that Exhibits 1025 and 1026 are true and correct copies of the Blasse &
`
`Bril publications, as were published in 1967. However, I do not rely on either Blasse
`
`& Bril reference as prior art, but rather as background to explain the state of the art.
`
`
`
`15
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`centering about 5,500 Ǻ.” Ex. 1012, 1:50-56; see also id. at 6:1-6 (“Variations
`
`include other laser sources, such as a cadmium-ion laser which may emit at
`
`4,416 Ǻ. as well as variations in the phosphor composition. All such
`
`compositions are cerium-activated and utilize a host of the garnet structure
`
`(i.e.[,] the structure of Y3Al5O12) since this is the only known combination to
`
`produce reemission of the appropriate color and brightness.”).
`
`• Pinnow et al., 1971: “In order to test some of the above concepts, a display
`
`screen was fabricated by dusting YAG:Ce powder over a white cardboard
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`sheet that had been coated with a transparent glue. This screen was used in
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`conjunction with a real time test display system which used an argon ion laser
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`source (4880 Ǻ) and solid state, acoustoopic deflectors.” Ex. 1027,156-
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`157XXX (“Similarly the combination of 4880-A light and converted light
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`from a YAG:Ce phosphor will produce a somewhat yellowish-white
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`appearance since the line connecting these primaries passes above illuminant
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`C. To achieve a truer white with this phosphor requires a shorter laser
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`wavelength such as the less intense 4579-A line of the argon laser or the 4416-
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`A line of the Cd-He laser.” Pinnow et al. (1971) also discloses YAG:Ce
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`emission on a CIE diagram at Figure 1:2
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`
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`• Philips, 1988. Describing YAG as well known for its absorption range and
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`efficiency, and ability to reduce color temperature: “A low-pressure mercury
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`vapour discharge lamp of the kind described in the opening paragraph is
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`
`2 I am very familiar the Pinnow 1971 publication, and have previously reviewed it
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`in a professional capacity prior to my involvement in this proceeding. Based on that
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`review, I have determined that Exhibit 1027 is a true and correct copy of the Pinnow
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`1971 publication, as was published in 1967. However, I do not rely on Pinnow 1971
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`as prior art, but rather as background to explain the state of the art.
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`characterized according to the invention in that the lamp is provided with an
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`absorption layer comprising an aluminate activated by trivalent cerium and
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`having a garnet crystal structure…. The said garnet is a known luminescent
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`material…, which absorbs shortwave ultraviolet radiation, but especially
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`absorbs radiation having a wavelength between about 400 and 480 nm and
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`converts it into radiation in a wide emission band (half-value width of about
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`110 nm) with a maximum at about 560 nm. It has been found that the use of
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`such a luminescent garnet in an absorption layer for three-band fluorescent
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`lamps leads to a shift of the colour point of the radiation emitted by the lamp
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`and allows for a reduction of the colour temperature of the lamp…. A
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`reduction of the colour temperature in itself could be attained with any yellow
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`pigment absorbing blue radiation. However, a yellow pigment leads to a
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`reduction (unacceptable for this lamp type) of the relative luminous flux so
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`that it cannot be used. The use of the luminescent garnet in lamps according
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`to the invention has the advantage that the absorbed radiation is no lost, but is
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`converted with a high efficiency into visible radiation so that high relative
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`luminous fluxes are obtained.” Ex. 1029,2:43-60, 2:61-3:2.
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`34.
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`In general, researchers’ goal was to use YAG and other rare-earth based
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`phosphors to make the light for a given application brighter, making it appropriate
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`for use with lamps, projection displays and other “white light” technology. By the
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`late sixties and early seventies, YAG and other rare-earth based phosphors were
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`standard industrial materials (YAG itself had an industry standard number—“P46”
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`(YAG with cerium) and P53 (YAG with terbium), and, based on what was known
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`about their characteristics in lighting, they were a standard material to use with any
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`high-intensity blue light source because they allowed for broad emission and
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`potentially improved quality of light.
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`35.
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`Indeed, as described above, since its discovery in the 1960s, YAG
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`became the go-to phosphor to create white light from a blue light source. In 1969,
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`researchers were using YAG with, for instance, argon-ion laser beams which
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`produced blue light, and it was well understood that YAG-type phosphors would
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`work well with light within particular wavelength ranges, as described in the
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`references cited immediately above. Likewise, in the 1970s, GE applied YAG to
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`another commercially viable blue light source – mercury vapor lamps – as described
`
`in Hoffman above. Mercury vapor lamps emit light in the blue color region, with
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`some lamps emitting too much blue. A 1977 article by Mary Hoffman at GE taught
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`improved color rendition using YAG to convert a portion of the blue light emitted
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`from mercury vapor lamps into yellow light. Hoffman specifically taught that YAG
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`work efficiently at the high temperatures of high pressure mercury vapor lamps.
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`Similarly, Phillips taught the use of YAG Phosphors with blue mercury vapor lamps
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`to “emit white light at a given color temperature.” Ex. 1029,1:40-41, 3:9-18.
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`36. These earlier publications also taught that YAG withstands harsh
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`operating conditions. For instance, Hoffman taught that the temperature in mercury
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`vapor lamps was 300° C. Ex. 1021,91. The Pinnow references disclose the use of
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`YAG with a laser that has anywhere from 50 to over 600 times the intensity of
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`sunlight. Ex. 1027,154. Blasse and Bril taught the use of YAG with cathode ray
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`tubes, which would have been known to have a high radiation density. Ex. 1025,53-
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`54.
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`37. Thus, by the early seventies, YAG and other rare-earth based phosphors
`
`were standard industrial materials (YAG itself had an industry standard number—
`
`“P46” (YAG with cerium) and P53 (YAG with terbium), and, based on what was
`
`known about their characteristics in lighting, they were a standard material to use
`
`with any high-intensity blue light source because they allowed for broad emission
`
`and potentially improved quality of light. Thus, prior to 1996, YAG had been used
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`by two of largest lighting companies in the world (Philips and GE) and one of the
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`leading research laboratories in the U.S. (Bell Labs) to partially down-convert blue
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`light emission into yellow light in order to make white light. Indeed, YAG was
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`given an industry designation—P46—indicating that it was a standard material.
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`Thus, by around 1993, YAG was by well-known to be one of, if not the only,
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`phosphor[A1] to have a particular set of properties – it could absorb blue light, emit a
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`TCL 1003, Page 24
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`range of yellow light, and could withstand harsh environments without degrading
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`(as was a known issue with other phosphors, such as some organic phosphors)
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`38. At roughly the same time, researchers such as Stevenson and Maruska
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`were working to grow GaN materials structures for use in blue LEDs. See, e.g.,
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`Herbert Maruska, Dissertation, Gallium Nitride Light-Emitting Diodes, Chapter 1
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`(Nov. 1974) (Ex. 1028); U.S. Patent No. 3,819,974 (June 25, 1974 (listing inventors
`
`David A. Stevenson, Walden C. Rhines, and Herbert P Maruska)) (Ex. 1032). By
`
`the mid-1970s, individuals understood that LEDs will be the light source of the
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`future, given the potential efficiency, lifetime, and ability to create all colors of light
`
`by color-conversion techniques such as the use of phosphors with the LEDs. Early
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`development in this field produced bright infrared LEDs (which were used with
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`upconverting phosphors), and then yellow and green LEDs. It was understood that,
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`charting out the development of the field, that what was needed was an efficient blue
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`LED light source, as that would allow for the creation of “white” light using standard
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`color-converting/colormixing
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`techniques,
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`including using
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`standard down-
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`converting phosphors like YAG or other rare-earth phosphors. The researchers in
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`this fiel