`Table of Contents
`
`
`Professional Experience ................................................................................ Page 2
`
`Education ........................................................................................................ Page 4
`
`
`
`
`
`Honors ............................................................................................................ Page 4
`
` Professional Society Fellows ......................................................................... Page 5
`
`
`Publications .................................................................................................... Page 7
`
`Other Publications ........................................................................................ Page 15
`
`Books ............................................................................................................ Page 15
`
`Presentations ................................................................................................ Page 17
`
`Patents .......................................................................................................... Page 41
`
`Advisees and Thesis Topics/Masters Candidates (completed) .................. Page 43
`
`Advisees and Thesis Topics/Doctoral Candidates (completed) ................. Page 44
`
`Advisees and Thesis Topics/Doctoral Candidates (in process).................. Page 47
`
`Principle Investigator on Grants and Contracts ........................................... Page 48
`
`Administrative Responsibilities .................................................................... Page 55
`
`Professional Activities .................................................................................. Page 57
`
`Other Activities ............................................................................................. Page 63
`
`Teaching Duties ............................................................................................ Page 66
`
`
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 1 of 66
`
`
`
`DUNCAN T. MOORE
`Curriculum Vitae
`
`The Institute of Optics
`University of Rochester
`Rochester, NY 14627-0186
`Tel: 585-275-5248
`E-mail: moore@optics.rochester.edu
`
`
`
`
`Professional Experience
`
`
`
`Rudolf and Hilda Kingslake Professor of Optical Engineering, University of Rochester, 1993-
`present
`Vice Provost for Entrepreneurship, University of Rochester, 2007-present
`Director for Entrepreneurship Activities, University of Rochester, 2006-2007
`Professor of Business Administration, University of Rochester (William E. Simon Graduate School
`of Business Administration), 2005-present
`Distinguished Guest Professor (Global), Graduate School of System Design and Management, Keio
`University, Tokyo Japan, 2013-2018
`President, International Commission on Optics, 2012 - 2015
`Area Coordinator for Entrepreneurship, 2008-present
`Senior Fellow, Greater Rochester Enterprise, 2005-2007
`Consulting Professor, Center for Longevity, Stanford University, 2005-2009
`President and Chief Executive Officer, Infotonics Technology Center Inc., Canandaigua, NY, 2002-
`2004
`Professor of Biomedical Engineering, University of Rochester, 2001-present
`Special Assistant to the President of the University of Rochester and Executive Director of the
`University, Industry, and Government Partnership for Advanced Photonics, 2001-2002
`Senior Science Advisor, Optical Society of America, Washington, DC, 2001-2003
`Special Advisor to the Director, White House Office of Science and Technology Policy, Executive
`Office of the President, December, 2000 – May, 2001
`Associate Director for Technology, White House Office of Science and Technology Policy,
`
`Executive Office of the President, December 1997 –December 2000
`Dean, School of Engineering and Applied Sciences, University of Rochester, 1995-1997
`American Physical Society Congressional Science Fellow:
`
`Science, Technology and Space Fellow in the office of Senator John D. Rockefeller IV,
`
` West Virginia, 1993-1994
`Professor, The Institute of Optics, University of Rochester, 1986-present
`Associate Professor, The Institute of Optics, University of Rochester, 1978-1986
`Assistant Professor, The Institute of Optics, University of Rochester, 1974-1978
`Director, The Institute of Optics, University of Rochester, 1987-1993
`Director, New York State Center for Advanced Optical Technology, University of Rochester, 1987-
`1994
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 2 of 66
`
`
`
`Editor, Applied Optics, Optical Technology Division; published monthly by the Optical Society of
`America, 1990-1992
`Visiting Scientist, Nippon Schlumberger K. K., Tokyo, Japan, 1983. Responsible for establishing
`Optics Department specializing in optical sensors for oil well logging and in optical data
`storage.
`President and Founder, Gradient Lens Corporation, Rochester, NY, 1980-1997. Performing
`consulting and design services in gradient-index lenses, conventional lens design, and
`optical systems analysis.
`Research Staff, Western Electric Engineering Research Center, Princeton, NJ, 1969-1971.
`
`Responsible for design and fabrication of specialized lens systems.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 3 of 66
`
`
`
`
`
`
`Education
`
`
`Ph. D., Optics, University of Rochester, Rochester, NY, 1971-1974
`Thesis: "Gradient-Index Optics: Aspects of Design, Testing and Tolerancing"
`Advisor: Dr. Philip W. Baumeister
`
`M. S., Optics, University of Rochester, Rochester, NY, 1969-1970
`Thesis: "Aberration Correction using Index Gradients"
`Advisor: Dr. Peter J. Sands
`
`B. A., Physics, University of Maine, Orono, ME, 1965-1969
`
`
`Honors
`
`
`1992 Science and Technology Award, Greater Rochester Metro Chamber of Commerce, 27th
`Annual Civic Awards Ceremony
`
`
`1993 21st Annual Distinguished Inventor of the Year Award, Rochester Intellectual Property
`Law Association
`
`Japanese Applied Physics Society MOC/GRIN '93 Gradient-Index Award
`
`
`1993
`
`1995 Honorary Doctor of Science, University of Maine
`
`1996 Honorary Membership, Golden Key National Honor Society
`
`1998 Election to the National Academy of Engineering
`
`1999 Engineer of the Year, Rochester Engineering Society
`
`1999 National Engineering Award, American Association of Engineering Societies
`
`2001 Optical Society of America Leadership Award (to strengthen the link between the optics
`community and the public)
`
`
`2002 Edward Orton, Jr. Memorial Lecturer, The American Ceramic Society
`
`2002 ASM/TMS Distinguished Lecturer, ASM International
`
`2003 50 Over Fifty Honoree, Rochester Business Journal
`
`2005 Honorary Member, Optical Society of America, Rochester Chapter
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 4 of 66
`
`
`
`2006 Gold Medal, The International Society for Optical Engineering (SPIE)
`
`2009 Edwin H. Land Medal, The Society for Imaging Science and Technology and the Optical
`Society of America (OSA)
`
`
`2012 University of Rochester – Hajim School’s 2012 Lifetime Achievement Award
`
`2015 Rochester Regional Photonics Cluster – Leadership Award
`
`2016 Rochester Museum & Science Center – Catalyst Award – Recognized for developing and
`encouraging an environment that promotes innovation in science and technology to form
`a lasting impact on the Greater Rochester Region
`
`
`2016 Doctoral Commencement William Riker Award for Lifetime Achievement in Graduate
`Education at the University of Rochester
`
`IEEE-USA Entrepreneur Achievement Award for Leadership in Entrepreneurial Spirit
`
`
`2017 Albert Nelson Marquis Lifetime Achievement Award
`
`2017 Edward T. Bryand Distinguished Engineer Award, The University of Maine
`
`2018
`
`
`American Men and Women of Science
`Who's Who In Technology
`Who's Who in America
`Who’s Who in the World
`Who’s Who
`in
`the
`
`
`21st Century
`
`
`
`Who’s Who in the East
`Who’s Who in American Education
`Who’s Who in Science & Technology
`Who’s Who in Medicine & Healthcare
`Marquis Who’s Who
`
`
`
`Who’s Who in Business Education
`
`
`Professional Society Fellows
`
`
`Society of Photo-Optical Instrumentation Engineers
`
`Fellow, 1981
`
`Optical Society of America
`
`Fellow, 1983
`
`National Academy of Engineering, 1998
`
`American Association for the Advancement of Science
`
`Fellow, 2005
`
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 5 of 66
`
`
`
`Fellow, 2008
`
`IEEE
`
`
`American Institute for Medical and Biological Engineering
`
`Fellow, 2011
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 6 of 66
`
`
`
`Publications
`
`
`"Design of Singlets with Continuously Varying Indices of Refraction", J. Opt. Soc. Am., 61, (7)
`886-94 (1971)
`
`
`"Third-Order Aberrations of Inhomogeneous Lenses with Cylindrical Index Distributions" (with
`P.J.Sands), J.Opt.Soc.Am., 61,(9), 1195-1201(1971)
`
`
`"Lens Designs for Inhomogeneous Glass," Western Electric Technical Notes,5,(1)(1971)
`
`"Raytracing in Gradient-Index Media", J. Opt. Soc. Am., 65, (4) 451-55
`
`(1975)
`
`"Raytracing in Tilted, Decentered, Displaced Gradient-Index Optical Systems", J. Opt. Soc. Am.,
`66,(8)789-95(1976)
`
`
`"Design of High Speed Optical Production Line," (with J.J.Bohache and G.H.Chen) Opt.
`Eng.,15,(5)416-23(1976)
`
`
`"Laser Fusion Microballoon Wall-Thickness Measurements: A Comparative Study" (with
`G.M.Halpern et al.), J.Appl.Phys.,48,(3)1223 -28(1977)
`
`
`"Design and Construction of a Phase-Locked Interference Microscope" (with G.W.Johnson),
`Proc.Syst.Integration & Opt.Design II - Another Look,SPIE, 103,76-85(1977)
`
`
`"Catadioptric System with a Gradient-Index Corrector Plate", J.Opt.Soc.Am., 67,(9)1143-
`46(1977).
`
`
`"Design of a Single Element Gradient-Index Collimator", J. Opt. Soc. Am.,67, (9) 1134-37(1977).
`
`"Gradient-Index Optical Lenses" (with D.P.Ryan), The Physics Teacher, 15, (7) 409-13(1977).
`
`"Phase-Locked Interferometry" (with G.W.Johnson and D.C.Leiner), Clever Opt.- Innovat. Appli.
`of Opt.,SPIE,126,152-60(1977).
`
`
`"Phase-Lock Interference Microscopy" (with D.C.Leiner), Proc. EOSD Symp., 726-31(1977).
`
`"Measurement of the Optical Properties of Gradient-Index Materials" (with D.P.Ryan),
`J.Opt.Soc.Am., 68,(9)1157-66(1978).
`
`
`"Real-Time Phase Microscopy using a Phase-Lock Interferometer" (with D.C.Leiner),
`Rev.Sci.Inst.,49,(12)1702-05(1978).
`
`
`"Large Aperture A.C.Interferometer for Optical Testing" (with R.Murray and F.B.Neves), Appl.
`Opt.,17,(24)3959-63(1978)
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 7 of 66
`
`
`
`"Aspherical Surface Polishing with a Ring Polisher" (with G.H.Chen), Appl. Opt., 18,(4) 559-
`62(1979).
`
`
`"Phase-Locked Interferometry" (with G.W.Johnson and D.C.Leiner), Opt. Eng.,18,(1) 46-
`52(1979).
`
`
`"Interferometric Measurement of the Optical Phase Distribution for Fresnel Diffraction by a
`Straightedge" (with R.W.Boyd), Appl. Opt., 18,(12) 2013-16(1979).
`
`
`"Phase-Locked Moire´ Fringe Analysis for Automated Contouring of Diffuse Surfaces" (with B.
`E.Truax), Appl.Opt.,18,(1)91-96(1979).
`
`
`"Review of Gradient-Index Optics" (with S.D.Fantone), Phys.Prop.of Op. Mat.,SPIE,204, 38-
`43(1979).
`
`
`"Gradient-Index Optics: A Review", Appl. Opt.,19,(7)1035-38(1980).
`
`"Chromatic Variation of Index of Refraction Gradients. Part 1" (with L.Gregorka), Appl.
`Opt.,19,(7)1096-1100(1980).
`
`
`"Radial Gradient-Index Lenses with Zero Petzval Aberration" (with R.T.Salvage), Appl. Opt.,
`19,(7)1081-86(1980).
`
`
`"Design of a Gradient-Index Binocular Objective" (with P.O.McLaughlin et al.), Proc. OSA 1980
`Intern. Lens Des. Conf., SPIE,237,369-79(1980).
`
`
`"Gradient-Index Optics: A Review", Proc. OSA 1980 Intern. Lens Des. Conf., SPIE,237, 364-
`68(1980).
`
`
`"Phase-Locked Moire´ Fringe Analysis for Scoliosis Detection", in Moire´ Fringe Topography
`and Spinal Deformity, ed. M. S. Moreland, Pergamon Press, 48-65 (1981).
`
`
`"Design of a Gradient-Index Photographic Objective" (with L. G. Atkinson et al.), Appl. Opt.,
`21,(6)993-98(1982).
`
`
`"Measurement of the Chromatic Variation of Index of Refraction Gradients" (with D.P.Ryan),
`Appl. Opt.,21,(6)1042-51(1982).
`
`
`"Imaging Capabilities of a Long Gradient-Index Rod", (with L.G.Atkinson and N. J. Sullo) Appl.
`Opt., 21,(6)1004-8(1982).
`
`
`"Ray Tracing in Anamorphic Gradient-Index Media" (with J.M.Stagaman), Appl. Opt.,21, (6)999-
`1003(1982).
`
`
`"Gradient-Index Optical Materials", Proc. 2nd Intern. Otto-Schott- Kolloquium, 193-203 (1982).
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 8 of 66
`
`
`
`"Optical Surfacing Center using Computer Numerical Control Machinery" (with L.G.Atkinson),
`Proc. 1982 Electr. Mini-Symp., 72-90(1982).
`
`
`"Gradient-Index Eyepiece Design" (with J.F.Forer et al.), Appl.Opt., 22,(3)407- 12(1983).
`
`"Rectangular Luneburg-Type Lenses for Integrated Optics" (with V.E.Wood et al.), Opt. Ltrs.,8,
`(4)226-28(1983).
`
`
`"Gradient-Index Wide Angle Photographic Objective Design" (with L.G. Atkinson et al.), Appl.
`Opt., 23,(11)1735-41(1984).
`
`
`"GRIN IV: gradient-index optical imaging systems", Appl. Opt., 23, 1699, (1984)
`
`"Laser Diode to Fiber-Coupling using Anamorphic Gradient-Index Lenses" (with J.M.Stagaman),
`Appl. Opt.,23, (11)1730-34(1984).
`
`
`"Measurement of Absolute Gradient-Index Profiles using Modulation Ellipsometry" (with
`N.J.Sullo), Appl. Opt., 23, (11) 1765-73 (1984).
`
`
`"Gradient-Index Components", Proc.Nat.Sci.Found.Grantees Mtng (1984).
`
`"Gradient-Index in the Year 2004", J.Non-Crys.Solids,73,285-86 (1985).
`
`"Unusual Optical Forms," Geometrical Optics, SPIE 531, 256-63 (1985).
`
`"Gradient-Index Profile Control by Field-Assisted Ion Exchange in Glass" (with S.N.Houde-
`Walter), Appl. Opt., 24, (24) 4288-96 (1985).
`
`
`"Measurement of the Differential Thermal Expansion and Temperature Dependence of Refractive
`Index in Gradient-Index Glass" (with P.O.McLaughlin), Appl. Opt., 24, (24)4334-41
`(1985).
`
`
`"Models for the Thermal Expansion Coefficient and Temperature Coefficient of the Refractive
`Index in Gradient-Index Glass" (with P.O.McLaughlin), Appl. Opt.,24, (24)4342-48
`(1985).
`
`
`"Model for the Chromatic Properties of Gradient-Index Glass" (with D.P. Ryan-Howard), Appl.
`Opt.,24,(24)4356-66 (1985).
`
`
`"Photocopy Reduction Arrays: Design and Analysis" (with J.F. Goldenberg and J.J. Miceli),
`Appl.Opt.,24,(24)4288-96 (1985).
`
`
`"Application of Gradient-Index Lens Design Techniques to Lenses for Integrated Optics", Procs.
`Internatl. Lens Design Conference, SPIE 554, 319-26 (1985).
`
`
`"Preparation of Gradient-Index Glass Rods by the Sol-Gel Process" (with M.Yamane and
`J.B.Caldwell), Ltr.Ed.,J.Non-Cryst.Solids, 85, 244-46 (1986).
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 9 of 66
`
`
`
`
`"Image Analysis of Curved Gradient-Index Rods" (with M.J. Nadeau and J.J. Miceli), Appl.
`Opt.,25,(11)1780-90 (1986).
`
`
`"Design of Gradient-Index Lens Systems for Disc Format Cameras" (with J.B. Caldwell),
`Appl.Opt.,25,(18)3351-55 (1986).
`
`
`"Gradient Infrared Optical Material Prepared by a Chemical Vapor Deposition Process" (with
`M.A.Pickering and R.L.Taylor), Appl. Opt.,25,(19)3364-72 (1986).
`
`
`"Gradient-Index Binocular Objective Design" (with J.B. Caldwell, et al.), Appl.Opt.,25,(19)3345-
`50 (1986).
`
`
`"Delta-n Control in GRIN Glass by Additives in AgCl Diffusion Baths" (with S.N. Houde-Walter),
`Appl.Opt.,25,(19)3373-78 (1986).
`
`
`"Current Materials for Gradient-Index Optics," Proc.30th Ann.Intern. Tech.Symp-Opt.&
`Optoelect.Engin., SPIE 679, 2-6 (1986).
`
`
`"CAM Optical Fabrication System" (with L.G. Atkinson), Proc. SPIE, 676, 55-58 (1986).
`
`"Design, Fabrication, and Testing of a Gradient-Index Binocular Objective" (with D.S. Kindred),
`Proc.SPIE-Int. Soc. Opt. Eng., SPIE 766, 108-110 (1987).
`
`
`"Gradient-Index Optics" (with L. Pugliese), Photonics Spectra, March, 71-76 (1987).
`
`"Development of Concentration at Glass/Salt Interface in Diffusing GRIN Glass" (with S.N.Houde-
`Walter), J. of Non-Crystalline Solids, (99) 104-112 (1988).
`
`
`"Design, fabrication, and testing of a GRIN binocular objective" (with Douglas S. Kindred),
`Appl.Opt.,27,(3)492-495 (1988).
`
`
`"Measurement of the refractive-index profile in polycrystalline germanium-silicon alloy GRIN
`crystals" (with Denis P. Naughton, and Joseph J. Miceli, Jr.), App.Opt.,27(3) 505-507
`(1988).
`
`
`"Real-time index profile measurement during GRIN glass fabrication" (with Susan Houde-
`Walter), App.Opt.,27,(3)508-515 (1988).
`
`
`"Infrared Gradient-Index Design" (with J.R. Zinter), Photonics Spectra, July, 117-122 (1988).
`
`"Radial Gradient-Index Eyepiece Design" (with J.P. Bowen, J.B. Caldwell, L.R. Gardner, N. Haun,
`M. Houk, D. Kindred, M. Shiba and D. Wang), Appl. Opt., Volume 27, August 1988.
`
`
`"Gradient-Index Lenses: Technology Derived from Nature", Ceramic Bulletin, Vol. 68, No. 11,
`1941-1945 (1989)
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 10 of 66
`
`
`
`"Gradient-Index Laser Scanning Analysis" (with Leland G. Atkinson, Debra S. Seitz, J. Robert
`Zinter), SPIE, Vol. 1079, 453-460 (1989)
`
`
`"Systematic Approach to the Design of Axial Gradient Lenses" (with David Y.H. Wang), OSA
`International Lens Design Conference, Monterey, California, June 1990.
`
`
`"Gradient-Index Profile Control from Mixed Molten Salt Baths" (with Joan E. Samuels), Appl.
`Opt., 29(28):4042-4050 (1990).
`
`
`"Design and Tolerancing of Aspherical and Gradient-Index Germanium Singlets of Equal
`Performance" (with Nathalie M. Renaud), Appl. Opt., Vol. 29, October 1990.
`
`
`"Axial and Radial Gradient-Index Titania Flint Glasses" (with Douglas S. Kindred and Julie
`Bentley), Appl. Opt., 29(28):4036-4041 (1990).
`
`
`for Na+ Exchange
`"Index Profile Control Using Li+
`in Alumino-Silicate Glasses"
`(with Niels Haun and Douglas Kindred), Appl. Opt., Vol. 29, October 1990.
`
`
`"Third-Order Aberration Theory for Weak Gradient-Index Lenses” (with David Y. H. Wang), Appl.
`Opt., Vol. 29, October 1990.
`
`
`"Effects of Axial and Radial Gradients on Cooke Triplets" (with C. Gary Blough, John P. Bowen,
`Niels Haun, Douglas S. Kindred, R. John Koshel, Daniel M. Krill, Christopher Saxer, and
`David Y.H. Wang), Appl. Opt., Vol. 29, October 1990.
`
`
`"Computer-Based Program for Fabricating Precision Optics Integrates Design, Engineering,
`Manufacturing Processes, and Quality Control" (with Harvey Pollicove), Laser Focus
`World, Vol. 27, No. 3, March 1991.
`
`
`"Center for Optics Manufacturing" (with Harvey Pollicove), Photonics Spectra, March 1992.
`
`"COM: Working to Move The Optics Industry into the 21st Century” (with Harvey Pollicove),
`Photonics Spectra, May 1992.
`
`
`"Control of the radial gradient-index profile by leaching of a gel" (with Niels Haun), Appl. Opt.,
`31(25):5225-5229 (1992).
`
`
`"Gradient Index Optics: What's the Hold-up in Applications?”, Optics & Photonics News, Vol. 3,
`No. 1, November 1992, Part I.
`
`
`"Gradient Index Optics: What's the Hold-up in Applications?”, Optics & Photonics News,
`
`Vol. 3, No. 12, December 1992, Part II.
`
`"Reconstruction of Surface Profiles Using Optical Differentiation and Confocal Microscopy",
`published in Proceedings Soc. Photo-Opt. Instrum. Eng., Vol. 2184.
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 11 of 66
`
`
`
`"Quantitative Phase Imaging in Confocal Microscopy by Optical Differentiation" (with A.
`Kulawiec), Appl. Opt., Vol. 33, No. 28, October 1, 1994.
`
`
` “Roundtable: Whither Now Our Research Universities?” (with R.L. Byer, P.M. Eisenberger, K.
`Gottfried, L.H. Greene, D.N. Langenberg, E.J. Moniz, S.C. Solomon), Physics Today,
`March 1995.
`
`
`"Rigid Endoscopic Relay Systems: A Comparative Study" (with T.H. Tomkinson, J.L. Bentley,
`M.K. Crawford, C.J. Harkrider, J.L. Rouke), Appl. Opt., 35:6674-6683 (1996).
`
`
`"Design of Three-Element Night-Vision Goggle Objectives" (with J.L. Rouke, M.K. Crawford, D.J.
`Fischer, C.J. Harkrider, and T.H. Tomkinson), Appl. Opt., 37:622-626 (1998).
`
`
`"Time Varying Boundary Condition Diffusion for Gradient-Index Design" (with C. Harkrider),
`International Optical Design Conference Proceedings, SPIE, 3482 (1998).
`
`
`"Birefringence Measurements in Gradient-Index Rod Lenses" (with J.L. Rouke), Appl. Opt.,
`38:6574-6580 (1999).
`
`
`"Birefringence in Gradient-Index Rod Lenses: A Direct Measurement Method and Interferometric
`Polarization Effects" (with J.L. Rouke), Appl. Opt., 40:4971-4980 (2001).
`
`
`“An Intra-Chip Free-Space Optical Interconnect” (with J. Xue, A. Garg, B. Ciftcioglu, Jian Zhang,
`J. Hu, S. Wang, I. Savidis, M. Jain, R. Berman, Zach Darling, P. Liu, M. Huang, H. Wu,
`E. Friedman, G. Wicks), 37th International Symposium on Computer Architecture (ISCA
`2010).
`
`
`“Compact Spectrum Splitting Photovoltaic Module with High Efficiency” (with James D.
`McCambridge, Myles A. Steiner, Blair L. Unger, Keith A. Emery, Eric L. Christensen,
`Mark W. Wanlass, Allen L. Gray, Laszlo Tackacs, Roger Buelow, Timothy A. McCollum,
`James W. Ashmead, Greg R. Schmidt, Alex W. Haas, John R. Wilcox, James Van Meter,
`Jeffrey L. Gray, Allen M. Barnett and Richard J. Schwartz), accepted by Progress in
`Photovoltaics: Research and Applications (2010) published online in Wiley Interscience
`(2010)
`
`
`“A 3-D Integrated Intrachip Free-Space Optical Interconnect for Many-Core Chips” (with J. Xue,
`A. Garg, B. Ciftcioglu, Jian Zhang, J. Hu, S. Wang, I. Savidis, M. Jain, R. Berman, Zach
`Darling, M. Huang, H. Wu, E. Friedman, G. Wicks and H. Wu), IEEE Photonics
`Technology Letters, Vol. 23, No. 3, February 1, 2011
`
`
`“Eyepiece Designs with Radial and Spherical Polymer Gradient-Index Optical Elements” (Anthony
`J. Visconti, James A. Corsetti, Keija Fang, Peter McCarthy, Duncan T. Moore, and Greg
`R. Schmidt), Opt. Eng 52(11), 112102 (August, 2013); doi: 10.1117/1.OE.52.11.112102
`
`
`“Athermalization of Polymer Radial Gradient-Index Singlets” (James A. Corsetti, Leo Gardner,
`Greg Smith, Duncan T. Moore), Opt. Eng 52(11), 112104 (July 25, 2013); doi:
`10.1117/1.OE.52.11.112104
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 12 of 66
`
`
`
`
`“Design and Fabrication of a Polymer Gradient-Index Optical Element for a High-Performance
`Eyepiece” (Anthony J. Visconti, Keija Fang, James A. Corsetti, Peter McCarthy, Duncan
`T. Moore, and Greg R Schmidt), Opt. Eng 52 (11), 112107 (August 2013); doi:
`10.1117/1.OE.52.11.112107
`
`
`“Color Correction in the Infrared Using Gradient-Index Materials” (James A. Corsetti, Peter
`McCarthy and Duncan T. Moore), Opt Eng. 52(11), 112109 (July 2013); doi:
`10.1117/1.OE.52.11.112109
`
`
`“Design and tolerance analysis of an axial gradient-index singlet broadband laser collimator” (Peter
`McCarthy and Duncan T. Moore), Opt. Eng 52(11), 112110 (August 2013; doi:
`10.1117/1.OE.52.11.112110
`
`
`“All plastic high performance eyepiece design utilizing a speherical gradient-index lens” (Visconti,
`A., Fang, K., Schmidt, G., and Moore, D.T.), Proc. SPIE 9293, International Optical Design
`Conference, 2014
`
`
`“Optical Design Study in the 1-5 Spectral Band with Gradient-Index Materials”, (McCarthy, P.,
`Berman, R. Williams, D. J. L., Yee, A., and Moore, D.T.), Proc. SPIE, International Optical
`Design Conference (2014)
`
`
`“Modeling Mid-Spatial Frequency Wavefront Error in Gradient-Index ALON Fabricated by
`Layered Diffusion”, (McCarthy, P, Nag, N., Moore, D. T.) International Optical Design
`Conference (Optical Society of America, 2014)
`
` “
`
` Absolute Thickness Metrology with High Precision Using Low Coherence Interferometry”,
`(Zhao, Y., Schmidt, G., Moore, D.T., Ellis, J.D.) Proceedings of the 29th ASPE Annual
`Meeting, 9-14 Nov. 2014, Boston
`
`
`“New Tools for Finding First Order Zoom Lens Solutions and the Analysis of Zoom Lenses During
`the Design Process”, (Yee, Anthony J., Williams, Daniel J.L., Gandara-Montano, Gustavo,
`McCarthy, Pete, Bentley, Julie, Moore, Duncan),
`
`
`“Chromatic Correction for a VIS-SWIR Zoom Lens Using Optical Glasses”, (Zhao, Yang,
`Williams, Daniel J.L., McCarthy, Peter, Visconti, Anthony J., Bentley, Julie L., Moore,
`Duncan T.)
`
`
`“Optical Design Study of a VIS-SWIR 3X Zoom Lens”, (Berman, Rebecca, Corsetti, James A.,
`Fang, Keija, Fennig, Eryn, McCarthy, Peter, Schmidt, Greg R., Visconti, Anthony J.,
`Williams, Daniel J.L., Yee, Anthony J., Zhao, Yang, Bentley, Julie, Moore, Duncan T.,
`Olson, Craig
`
`
`"The First Order Solutions for Two Configurations of Discrete Zoom Lenses" (Anthony J. Yee,
`Anthony J., Zhao, Yang; Steven, Samuel J., Berman, Rebecca, Fennig, Eryn A.,
`Petropavlovskiy, Dmitry, Bentley, Julie, Moore, Duncan T., Olson, Craig; Proc. SPIE
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 13 of 66
`
`
`
`9822, Advanced Optics for Defense Applications: UV through LWIR, 982215 (May 18,
`2016).
`
`
`“ALON GRIN optics for visible-MWIR applications” (Nagendra Nag, Santosh Jha, Suri Sastri,
`Lee M. Goldman, Surmet Corp. (United States); Peter McCarthy, Greg R. Schmidt, Julie
`L. Bentley, Duncan T. Moore, The Institute of Optics, Univ. of Rochester (United States)
`Published in Proceedings Volume 9822: Advanced Optics for Defense Applications: UV
`through LWIR July 2016
`
`
`"Free-space infrared Mach-Zehnder interferometer for relative index of refraction measurement of
`gradient index optics," Anthony J. Yee, Duncan T. Moore, Opt. Eng. 56(11), 111707
`(2017), doi: 10.1117/1.OE.56.11.111707
`
`
`“Optical design study in the 3-12 m spectral band with gradient-index materials”, (Anthony Yee,
`Duncan Moore) Proc. SPIE. 10590 (2017), International Optical Design Conference; doi:
`10.1117/12.2293375
`
`
`“Dual FOV afocal zoom system with stationary pupils using single moving group” (Yang Zhao,
`Julie Bentley, Duncan Moore) Proc. SPIE. 10590, (2017) International Optical Design
`Conference 2017; doi: 10.117/12.2295388
`
`
`“Design of planar light guide concentrators for building integrated photovoltaics” (Eryn Fennig,
`Greg Schmidt, Duncan Moore). Proc. SPIE 10590 (2017), International Optical Design
`Conference 2017; doi: 10.117/12.2293583
`
`
`“Optimal Power distribution for minimizing pupil walk in a 7.5X afocal zoom lens (Wanyue Song,
`Yang Zhao, Rebecca Berman, S. Yvonne Bodell, Eryn Fennig, Yunhui Ni, Jonathan C.
`Papa, Tianyi Yang, Anthony J. Yee, Duncan T. Moore, Julie L. Bentley; Proc. SPIE.
`10590 (2017), International Optical Design Conference; doi: 10.117/12.2292268
`
`
`“Free space infrared Mach-Zehnder interferometer or relative index of refraction measurement of
`gradient index optics” (Anthony J. Yee, Duncan T. Moore); Optical Engineering, 56(11),
`111707 (2017). Doi: 10.1117/1.OE.56.11.111707
`
`
`“Design of a High Temperature (1350C) Solar Receiver Based on a Liquid Metal Heat Transfer
`Fluid: Sensitivity Analysis” (F. DeAngelis, HR. Seyf, R. Berman, G. Schmidt, D. Moore
`and A. Henry, Solar Energy,(2018), 164, 200-209
`
`
`"Design of a Freeform Gradient-Index Prism for Mixed Reality Head Mounted Display,"
`(Anthony J. Yee, Wanyue Song, Nick Takaki, Tianyi Yang, Yang Zhao, Yunhui Ni, S.
`Yvonne Bodell, Jannick P. Rolland, Julie L. Bentley, Duncan T. Moore); Proc. SPIE
`10676, Digital Optics for Immersive Displays, 106760S (21 May 2018);
`
`
`"Design of a spatially multiplexed light field display on curved surfaces for VR HMD
`applications ," (Tianyi Yang, Nicholas S. Kochan, Samuel J. Steven, Greg Schmidt,
`Julie L. Bentley, Duncan T. Moore); Proc. SPIE 10676, Digital Optics for Immersive
`Displays, 106760Y (21 May 2018);
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 14 of 66
`
`
`
`
`"Over-designed and under-performing: design and analysis of a freeform prism via careful use of
`orthogonal surface descriptions," (Nicholas Takaki, Wanyue Song, Anthony J. Yee,
`Julie Bentley, Duncan Moore, Jannick P. Rolland); Proc. (21 May 2018);
`
`
`"Augmented reality display system for smart glasses with streamlined form factor," (Samuel
`Steven, Yang Zhao, Greg Schmidt, Julie Bentley, Duncan Moore); Proc. SPIE 10676,
`Digital Optics for Immersive Displays, 106761I (21 May 2018);
`
`
`“Melt property variation in GeSe2-As2Se3-PbSe glass ceramics for infrared gradient regractive
`index (GRIN) applications,” (Anupama Yadav, Andrew Buff, Myungkoo Kang, Laura
`Sisken, Charmayne Smith, Jason Lonergan, Cesar Blanco, Michael Antia, Megan
`Driggers, Andrew Kirk, Clara Rivero‐Baleine, Theresa Mayer - Virginia Tech, Andrew
`Swisher, Alexej Pogrebnyakov, AR Hilton, Greg Whaley - Amorphous Materials Inc.,
`Thomas J. Loretz, Anthony Yee, Greg Schmidt, Duncan T. Moore, Kathleen A.
`Richardson); International Journal of Applied Glass Science, 2018;
`https://doi.org/10.1111/ijag.12618
`
`
`
`Other Publications
`
`Automatic Computer Design Program for Systems Containing Gradient-Index Optical
`Components, Program 14000 lines of code, 140-page manual, 1978.
`
`Applied Optics (Gradient-Index Issues) Topical Editor, 19(7) and 23(11),April 1980 and June 1984.
`
`"Evaluation of the Optical Engineering Program at Zheijiang University, Hangzhou, PRC," for the
`International Advisory Panel, Chinese University Development Project, The World Bank, 1984.
`
`"Final Report -- Hubble Independent Optical Review Panel," this publication determine the
`correction for the Hubble Space Telescope. P-442-0078, Goddard Space Flight Center, Greenbelt,
`MD 20771, 1993.
`
`“Entrepreneurship Education Comes of Age on Campus: The Challenges and Rewards of Bring-
`ing Entrepreneurship to Higher Education” (August 2013). Ewing Marion Kauffman Research
`Paper. Available at SSRN: http//ssrn.com//abstract=2307987.
`
`
`
`Books
`
`
`Proceedings-1985 International Lens Design Conference, Editor (with W. H. Taylor), SPIE 554
`1986.
`
`Tutorials in Optics, Editor, (Optical Society of America, Washington, D.C.) Annual Meeting,
`Rochester, NY, 1987.
`
`Selected Papers on Gradient-Index Optics, Editor, SPIE
`
`Milestone Series, Volume MS 67, 1993.
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 15 of 66
`
`
`
`
`Gradient-Index Optics, Editor, Optical Society of America Handbook of Optics, 1994.
`
`Gradient-Index Materials, Editor, CRC Handbook of Laser Science and Technology,
`
`
`
`
`World Book Encyclopedia, Contributor in reviewing the article Optics, 2008.
`
`Supplement 2: Optical Materials, 1994.
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 16 of 66
`
`
`
`Presentations
`
`
`"Design of Singlets with Continuously Varying Indices of Refraction," OSA Ann. Mtng., Miami,
`FL, Sept. 1970 (J.Opt.Soc.Am.60 1557).
`
`
`"Design of Corrector Plates with Gradient-Index Glasses," OSA Ann. Mtng., Denver, CO, March
`1973 (J.Opt.Soc.Am.63 496).
`
`
`"Practical Aspects of A.C.Moire´ Fringe Interferometry," (with J.M. Eastman) OSA Ann. Mtng.,
`Houston, TX, Oct. 1974 (J.Opt. Soc.Am.64 1369).
`
`
`"Fabrication and Testing of Gradient-Index Components," OSA Ann. Mtng., Houston, TX, Oct.
`1974 (J.Opt.Soc.Am.64 1376).
`
`
`"Current Status of Gradient-Index Optics," (Invited Paper) Intern. Lens Des. Mtng., Haverford, PA,
`June 1975.
`
`
`"Chromatic Dispersion in Gradient-Index Materials," (with D.P.Ryan)
`
` Am.Ceram.Soc.Mtng. (Glass Div.) Bedford Springs, MD, Oct. 1976.
`
`"Modeling and Fabrication of Gradient-Index Glass," (with S.D.Fantone and D.P.Ryan) OSA Ann.
`Mtng., Tucson, AZ, Oct. 1976 (J. Opt. Soc. Am.66 1111).
`
`
`"Optical Properties of Gradient-Index Materials," (with S.D.Fantone and D.P.Ryan) OSA
`Ann.Mtng., Tucson, AZ, Oct.1976 (J. Opt. Soc. Am. 66 1119).
`
`
`"Laser Fusion Microballoon Wall Thickness Measurements: A Comparative Study," (with
`G.Halpern et al.)Am. Phys. Soc. Mtng., San Francisco, CA, Nov. 1976 (J.Appl.Phys.,48
`1223).
`
`
`"Design and Construction of a Phase-Locked Interference Microscope," (with G.W.Johnson), SPIE
`Mtng., Reston, VA, April 1977(Proc. Syst. I nteg. & Opt. Des. II - Another Look, SPIE,
`103 76).
`
`
`"Phase-Locked Interferometry," (Invited Paper with G.W.Johnson) Symp. for Innovation in
`Measure. Science, Geneva, NY, July 1977.
`
`
`"Phase-Locked Interferometry," (Invited Paper with G.W. Johnson and D. C. Leiner) SPIE Ann.
`Mtng., San Diego, CA, Aug. 1977 (Clever Opt.-Innovat. Appl. of Opt., SPIE 126 152).
`
`
`"A.C.Moire´ Fringe Analysis," (with B.E.Truax) OSA Ann. Mtng., Toronto, Canada, Oct. 1977
`(J.Opt.Soc.Am.67 1365).
`
`
`"A Large Aperture A.C.Interferometer for Optical Testing," (with R.Murray and F.B.Neves) OSA
`Ann. Mtng., Toronto, Canada, Oct. 1977 (J. Opt. Soc.Am.67 1385).
`
`
`
`Apple v. Corephotonics
`IPR2019-00030
`Exhibit 2006 Page 17 of 66
`
`
`
`"Computer Simulation of the Optical Polishing Process," (with J.J.Bohache) OSA Annual Mtng.,
`Toronto, Canada,