`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________
`
`
`APPLE INC.,
`Petitioner
`
`v.
`
`SOLAS OLED, LTD.,
`Patent Owner
`_________________
`
`
`Inter Partes Review Case No. IPR2020-01059
`U.S. Patent No. 6,072,450
`
`
`
`
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 6,072,450
`
`

`

`LIST OF EXHIBITS
`
`
`Description
`U.S. Patent No. 6,072,450 (the “’450 patent”)
`File History for U.S. Patent No. 6,072,450
`U.S. Patent No. 5,670,792 (“Utsugi”)
`JPH053079 (certified translation, “Manabe”)
`WO 96/25020 (certified translation, “Eida”)
`S.W. Amos, Principles of Transistor Circuits, 8th Ed. (1994)
`Declaration of Dr. Adam Fontecchio
`Curriculum Vitae of Dr. Adam Fontecchio
`JPH053079 (“Manabe”)
`WO 96/25020 (“Eida”)
`U.S. Patent No. 5,847,516 (“Kishita”)
`
`
`
`Exhibit
`1001
`1002
`1003
`1004
`1005
`1006
`1007
`1008
`1009
`1010
`1011
`
`
`
`
`
`ii
`
`

`

`TABLE OF CONTENTS
`
`INTRODUCTION .......................................................................................... 1
`I.
`II. STANDING, MANDATORY NOTICES, AND FEE AUTHORIZATION .... 3
`III. SUMMARY OF CHALLENGE .................................................................. 5
`IV. OVERVIEW OF THE ’450 PATENT ......................................................... 6
`A. Prosecution History.....................................................................................11
`V. LEVEL OF ORDINARY SKILL ...................................................................12
`VI. CLAIM CONSTRUCTION ........................................................................12
`A. “active elements” ........................................................................................12
`VII. OVERVIEW OF THE PRIOR ART ...........................................................13
`A. Utsugi (Ex. 1003)........................................................................................13
`B. Manabe (Ex. 1004) .....................................................................................15
`C. Eida (Ex. 1005) ...........................................................................................16
`VIII. APPLICATION OF PRIOR ART TO THE CHALLENGED CLAIMS .....20
`A. Ground I: Claims 1–2, 4–8, and 15–16 Are Anticipated by Utsugi. ............21
`1. Claim 1 ....................................................................................................21
`2. Dependent Claim 2 ..................................................................................30
`3. Dependent Claim 4 ..................................................................................30
`4. Dependent Claim 5 ..................................................................................33
`5. Dependent Claim 6 ..................................................................................33
`6. Dependent Claim 7 ..................................................................................35
`7. Dependent Claims 8 and 16 .....................................................................39
`8. Claim 15 ..................................................................................................40
`B. Ground II: Claims 1–2, 4–8, and 15–16 Are Obvious Over Utsugi. ............52
`1. Claim 1 ....................................................................................................53
`2. Dependent Claims 2 and 4–7 ...................................................................55
`3. Dependent Claims 8 and 16 .....................................................................55
`4. Claim 15 ..................................................................................................57
`C. Ground III: Claim 3 Is Obvious Over the Combination of Utsugi and
`Manabe. ............................................................................................................61
`
`iii
`
`

`

`1. Dependent Claim 3 ..................................................................................61
`D. Ground IV: Claims 9, 11–13, and 17–18 Are Obvious Over the Combination
`of Utsugi and Eida. ...........................................................................................66
`1. Motivation to Combine Eida with Utsugi ................................................67
`2. Dependent Claim 9 ..................................................................................70
`3. Dependent Claim 11 ................................................................................71
`4. Dependent Claim 12 ................................................................................75
`5. Dependent Claim 13 ................................................................................77
`6. Dependent Claim 17 ................................................................................79
`7. Dependent Claim 18 ................................................................................81
`IX. CONCLUSION .............................................................................................81
`
`
`
`
`
`
`iv
`
`

`

`I.
`
`INTRODUCTION
`
`Apple Inc. (“Petitioner”) petition for inter partes review seeking cancellation
`
`of claims 1–9, 11–13, and 15–18 of U.S. Patent No. 6,072,450 (Ex. 1001, “’450
`
`patent”), assigned to Solas OLED, Ltd. (“Patent Owner”).
`
`The ’450 patent relates to an active matrix organic electroluminescent display
`
`(OLED) having a particular pixel area structure. In particular, the patent is directed
`
`to a display in which a first electrode (the cathode), an electroluminescent layer, and
`
`a second electrode (the anode) are all formed “so as to cover” the transistors for each
`
`pixel, with the first electrode shielding the transistors from visible light. Ex. 1001,
`
`3:28–31; Ex. 1007, ¶ 45. This structure is shown in annotated Figure 2 below. Ex.
`
`1001, 1:1:5–8, 2:66–3:7
`
`
`
`
`
`The purported benefits of such a structure are twofold: (1) to enlarge the overall
`
`light-emitting area of the pixel, allowing for high luminescence (brightness), and (2)
`
`1
`
`

`

`to prevent light from the electroluminescent layer from entering the transistors. See
`
`Ex. 1001, 2:66–3:7; Ex. 1007, ¶¶ 46–47.
`
`This display structure was not novel. Rather, it was specifically taught by the
`
`prior art Utsugi reference (Ex. 1003). As shown in annotated Figure 5 below, Utsugi
`
`likewise discloses an organic electroluminescent display (OLED), including
`
`transistors for each pixel, in which a first electrode (“electron injection electrode”),
`
`an electroluminescent layer (“organic thin-film layer”), and a second electrode
`
`(“hole injection electrode”) each cover the transistors, with the first electrode
`
`shielding the transistor from visible light. Ex. 1007, ¶¶ 62–64.
`
`
`
`Thus, Utsugi expressly discloses the structure that was the purported novel
`
`
`
`aspect of the claims of the ’450 patent, which the applicants relied on to distinguish
`
`the prior art of record during prosecution. In fact, Utsugi teaches all the limitations
`
`2
`
`

`

`of claims 1–2, 4–8, and 15–16, and therefore anticipates these claims or, at a
`
`minimum, renders them obvious, as shown below in Grounds I and II.
`
`Dependent claim 3, which requires the pixel electrode to have a rough surface
`
`in contact with the electroluminescent layer, is obvious over the combination of
`
`Utsugi and Manabe. Manabe discloses the structure required by claim 3—i.e., a first
`
`electrode with a rough surface in contact with the organic electroluminescent layer—
`
`and explains the benefits of implementing such a structure, as shown below in
`
`Ground III.
`
`Dependent claims 9, 11–13, and 17–18 add further requirements concerning
`
`wavelength conversion and filter layers for multicolor or full-color displays that
`
`were well-known in the prior art and taught, for instance, by the Eida reference (Ex.
`
`1005), as the Examiner recognized during prosecution. These claims are obvious
`
`over the combination of Utsugi and Eida, as shown below in Ground IV.
`
`II.
`
`STANDING, MANDATORY NOTICES, AND FEE AUTHORIZATION
`
`Grounds for Standing: Pursuant to 37 C.F.R. § 42.104(a), Petitioner certifies
`
`that the ’450 patent is available for IPR and that Petitioner is not barred or estopped
`
`from requesting an IPR challenging the ’450 patent on the grounds identified in this
`
`petition.
`
`Real Party-in-Interest: Apple Inc. is the real party in interest.
`
`3
`
`

`

`Related Matters: Patent Owner has asserted the ’450 patent in litigation
`
`against the Samsung real parties-in-interest in Solas OLED Ltd. v. Samsung Display
`
`Co., Ltd., et al., Case No. 2:19-cv-00152-JRG (E.D. Tex.). Patent Owner has further
`
`asserted the ’450 patent in litigation in Solas OLED Ltd. v. Dell Technologies Inc.,
`
`6:19-cv-00514-ADA (W.D. Tex.); Solas OLED Ltd. v. Google Inc., 6:19-cv-00515-
`
`ADA (W.D. Tex.); and Solas OLED Ltd. v. Apple Inc., 6:19-cv-00537-ADA (W.D.
`
`Tex.).
`
`Lead and Back-Up Counsel: Petitioner designates Adam P. Seitz (Reg. No.
`
`52,206, adam.seitz@eriseip.com) as lead counsel of Erise IP, P.A., 7015 College
`
`Boulevard, Suite 700, Overland Park, Kansas 66211 and Paul R. Hart (Reg. No.
`
`59,646, paul.hart@eriseip.com) as back-up counsel of Erise IP, P.A., 5299 DTC
`
`Blvd., Ste. 1340, Greenwood Village, Colorado 80111 (postal and hand delivery),
`
`telephone (913) 777-5600, facsimile: (913) 777-5601.
`
`Service Information: Service information is provided in the designation of
`
`counsel above. Petitioner consents to service of all documents via electronic mail at
`
`the email addresses above and at PTAB@eriseip.com.
`
`Fee Authorization: The Office is authorized to charge $31,100 ($15,500
`
`request fee and $15,600 post-institution fee) for the fees set forth in 37 C.F.R. §
`
`42.15(a) (as well as any additional fees that might be due) to Deposit Account No.
`
`50-6159.
`
`4
`
`

`

`III. SUMMARY OF CHALLENGE
`Petitioner requests IPR of claims 1–9, 11–13, and 15–18 of the ’450 patent
`
`based on the following grounds:
`
`• Ground I: Claims 1–2, 4–8, and 15–16 are anticipated by Utsugi (Ex. 1003)
`
`under 35 U.S.C. § 102.
`
`• Ground II: Claims 1–2, 4–8, and 15–16 are obvious based on Utsugi under
`
`35 U.S.C. § 103.
`
`• Ground III: Claim 3 is obvious based on the combination of Utsugi and
`
`Manabe (Ex. 1004) under 35 U.S.C. § 103.
`
`• Ground IV: Claims 9, 11–13, and 17–18 are obvious based on the
`
`combination of Utsugi and Eida (Ex. 1005) under 35 U.S.C. § 103.
`
`The ’450 patent was filed on November 21, 1997, and claims priority to two
`
`foreign applications filed on November 28, 1996. Under 35 U.S.C. § 154(a)(2), it
`
`expired on November 21, 2017. Each of the asserted references is available as prior
`
`art under 35 U.S.C. § 102 (pre-AIA),1 as shown in the following table.
`
`Exhibit
`
`Reference
`
`Date(s)
`
`Ex. 1003 U.S. Patent No.
`5,670,792 (“Utsugi”)
`
`1 Because the application for the ’450 patent was filed prior to March 16, 2013, the
`
`Oct. 12, 1994 (filed)
`
`Availability
`as Prior
`Art
`§ 102(e)
`
`pre-AIA conditions for patentability apply.
`
`5
`
`

`

`Ex. 1004 JPH053079 (“Manabe”) June 24, 1991 (filed)
`
`Sep. 23, 1997 (issued)
`
`January 8, 1993 (published)
`
`§§ 102(a)
`and 102(b)
`
`Ex. 1005 WO 96/25020 (“Eida”) February 5, 1996
`(international application
`date)
`
`August 15, 1996 (published)
`IV. OVERVIEW OF THE ’450 PATENT
`The ’450 patent (Ex. 1001) states that it “relates to a display apparatus, and
`
`§§ 102(a)
`and 102(b)
`
`more particularly to an electroluminescent (hereinafter referred to as EL) display
`
`apparatus with a matrix display panel including EL elements.” Ex. 1001, 1:5–8.
`
`Active matrix displays, like the one claimed in the ’450 patent, include a pair
`
`of transistors for each pixel, “which confer voltage storing capability on the pixels.”
`
`Ex. 1001, 1:47–51. These transistors are sensitive to light, such that if light from the
`
`EL elements enters the transistors it can generate “unnecessary photoelectromotive
`
`force” and cause the transistors to malfunction. Id., 2:27–32; Ex. 1007, ¶ 43. As
`
`shown in annotated Figure 22 below, in conventional designs, this problem was
`
`mitigated by not including light emitting layers above the transistors—i.e., by
`
`limiting the area of the EL layer 106 and anode 103 to prevent them from
`
`overlapping with the portion of the pixels dedicated to the transistors. Ex. 1001,
`
`6
`
`

`

`2:32–37. However, this reduces the total light emitting area of the pixel. Id.; Ex.
`
`1007, ¶ 44.
`
`
`
`The ’450 patent purports to increase the light emitting area to almost the
`
`
`
`entirety of the pixel region by having a first electrode (cathode), an EL layer, and a
`
`second electrode (anode) (together, these three elements are referred to in this
`
`petition as the “EL structure”) that cover the selection and drive transistors. Ex.
`
`1001, 7:66–8:61. As shown in annotated Figure 1 below, this structure allows for an
`
`increased aperture ratio—i.e., a majority of the pixel region emits light. Id.; Ex.
`
`1007, ¶¶ 45–47.
`
`7
`
`

`

`
`The structure of the ’450 patent avoids the problem of light entering the selection
`
`
`
`transistors Q1 and drive transistors Q2 by using a first electrode formed of a material,
`
`such as MgAg, which reflects light away from the transistors and out the top of the
`
`display, as indicated by the arrow labeled “hʋ” in the annotated cross section of
`
`Figure 2 below. Ex. 1007, ¶ 46.
`
`8
`
`

`

`
`
`
`
`The independent claims of the ’450 patent are generally directed to a display
`
`apparatus having the above structure—i.e., a structure where the first electrode,
`
`electroluminescent layer, and second electrode each cover the associated transistors
`
`(“active elements”); and where the first electrode shields visible light. Independent
`
`claim 1 recites:
`
`A display apparatus comprising:
`
`[a]: a substrate;
`
`[b]: active elements formed over said substrate and driven
`by an externally supplied signal;
`
`[c]: an insulation film formed over said substrate so as to
`cover said active elements, said insulation having at least
`one contact hole;
`
`[d]: at least one first electrode formed on said insulation
`film so as to cover said active elements, and connected to
`said active elements through said at least one contact hole,
`
`9
`
`

`

`said at least one first electrode being made of a material
`which shields visible light;
`
`[e]: an organic electroluminescent layer having an
`organic electroluminescent material formed on said at
`least one first electrode so as to cover said active elements
`and including at least one layer which emits light in
`accordance with a voltage applied to said at least one layer;
`
`[f]: at least one second electrode formed on said organic
`layer which covers said active
`electroluminescent
`elements.
`
`The ’450 patent also includes embodiments and claims directed to the use of
`
`wavelength conversion layers and/or color filters for multicolor or full-color
`
`displays, as shown in annotated Figure 12 below.
`
`
`These layers and filters, which are formed on top of the EL structures, can be used
`
`
`
`to optimize the color of the light output. The wavelength conversion layers absorb
`
`light emitted from the electroluminescent layers and emit light of a different
`
`10
`
`

`

`wavelength (e.g., absorb blue light from the electroluminescent layers and emit red
`
`light). Ex. 1001, 11:47–65; Ex. 1007, ¶ 48. The color filters, in turn, are used to filter
`
`the emitted light—i.e., permitting only a narrower wavelength to pass through,
`
`resulting in a higher color purity. Ex. 1001, 12:49–13:17; Ex. 1007, ¶ 48.
`
`Prosecution History
`
`A.
`Original independent claims 1 and 16 of the application that resulted in the
`
`’450 patent were rejected as (i) anticipated by U.S. Patent No. 5,684,365 (“Tang”)
`
`and (ii) obvious based on the combination of Tang and U.S. Patent No. 5,847,516
`
`(“Kishita”), respectively. Ex. 1002, 154–162 (August 31, 1999 Non-Final
`
`Rejection). In response, the applicant amended the independent claims to specify
`
`that the EL layers were “organic” EL layers, and that, in addition to the insulation
`
`film and first electrode being formed so as to cover the active elements of the pixel,
`
`the organic EL element and second electrode were also formed so as to cover the
`
`active elements. Id., 294–307 (November 30, 1999 Amendment).
`
`To overcome the Examiner’s rejections, the applicant stressed that “[s]ince
`
`the organic electroluminescent layer is flexibly arrangeable regardless of the
`
`positional relationship with the active elements, the present claimed invention can
`
`enlarge a luminescent area of the electroluminescent layer,” and “[i]n the present
`
`claimed invention . . . the at least one first electrode prevents the visible light emitted
`
`Description of the ’ Patent by the electroluminescent layer from entering the active
`
`11
`
`

`

`elements because the at least one first electrode includes a material that shields the
`
`visible light.” Id., 300.
`
`The Examiner subsequently issued a Notice of Allowance. See id., 312–317
`
`(January 14, 2000 Notice of Allowance).
`
`V. LEVEL OF ORDINARY SKILL
`A person of ordinary skill in the art (“POSA”) of the ’450 patent at the time
`
`of the alleged invention would have had a relevant technical degree in Electrical
`
`Engineering, Computer Engineering, Materials Science, Physics, or the like, and
`
`experience in active matrix display design and electroluminescence. Ex. 1007, ¶ 54.
`
`VI. CLAIM CONSTRUCTION
`In IPR proceedings, claims are now construed “in accordance with their
`
`ordinary and customary meaning” in light of the specification. 37 C.F.R. §
`
`42.100(b); see Phillips v. AWH Corp., 415 F.3d 1303, 1312–13 (Fed. Cir. 2005). For
`
`purposes of this petition, Petitioner does not believe that any specialized
`
`constructions are necessary. However, for purposes of clarity, the term “active
`
`elements” is addressed briefly below.
`
`“active elements”
`
`A.
`A number of claims include the term “active elements.” In electronics, “active
`
`elements” generally are understood to be elements that supply energy to a circuit,
`
`for instance, by controlling the flow of current. Ex. 1007, ¶ 57. While the ’450 patent
`
`12
`
`

`

`specification does not expressly define the term, it is clear that the ’450 patent
`
`considers transistors to be “active elements.” Ex. 1001, 3:4–7 (“It is another object
`
`of the present invention to provide a display apparatus which prevents light from
`
`entering active elements such as transistors.” (emphasis added)); see also id., cls. 4
`
`(“said active elements are a selection transistor . . . and a drive transistor”), 7 (“said
`
`active elements are transistors”); Ex. 1007, ¶¶ 57–58. Accordingly, “active
`
`elements” should be interpreted to encompass transistors (at a minimum).
`
`VII. OVERVIEW OF THE PRIOR ART
`A. Utsugi (Ex. 1003)
`U.S. Patent No. 5,670,792 (“Utsugi”) was filed on October 12, 1994 and is
`
`prior art under 35 U.S.C. § 102(e). Utsugi was not cited or considered during
`
`prosecution.
`
`Like the ’450 patent, Utsugi is directed to an organic, active matrix
`
`electroluminescent display (OLED). As shown in annotated Figure 5 below, Utsugi
`
`discloses an organic EL structure consisting of an electron injection electrode 55, an
`
`organic thin-film layer 52 (i.e., EL layer), and a hole injection electrode 54. Ex. 1007,
`
`¶¶ 62–64.
`
`13
`
`

`

`
`
`
`
`Utsugi discloses that the organic EL structure covers almost the entirety of the
`
`pixel. Ex. 1003, 6:53–59 (“[T]he electron injection electrode 55 is patterned like an
`
`independent i[s]land in each picture element region, while the organic thin-film layer
`
`52 and the hole injection electrode 54 are made common to the whole picture
`
`elements of the luminous element array, i.e., formed over the entire region of a
`
`display panel.”). This includes covering the switching transistor Qs and the current
`
`controlling transistor QI (i.e., the active elements), as shown in Figure 4 below. See
`
`also, id., 6:23–29 (“The luminescent element EL as a layered organic thin-film EL
`
`element extends over the capacitor C and the transistors QI and QS, covering
`
`substantially the entirety of the picture element region.”); Ex. 1007, ¶¶ 64–65.
`
`14
`
`

`

`
`
`B. Manabe (Ex. 1004)
`JPH053079 (Ex. 1004, certified translation, “Manabe”) is a Japanese patent
`
`
`
`application publication, published on January 8, 1993, which is prior art under 35
`
`U.S.C. §§ 102(a) and 102(b).2 Manabe was not cited or considered during
`
`prosecution.
`
`Like the ’450 patent and Utsugi, Manabe is directed to an “[o]rganic EL
`
`element.” Ex. 1004, Title. In particular, it teaches the use of a roughened metal
`
`
`2 The original Japanese version of Manabe is included as Ex. 1009.
`
`15
`
`

`

`electrode in contact with an organic electroluminescent layer to improve display
`
`quality, as shown in annotated Figure 1 below. See, e.g., Ex. 1004, ¶ 24 (“Therefore,
`
`roughening of the surface of . . . of the metal electrode in contact with the organic
`
`EL layer causes slight differences in the light path from light sources within the light
`
`emission layer causing averaging of the interference effect and reducing angle
`
`dependence and film thickness dependence.”); Ex. 1007, ¶ 67.
`
`
`The roughened metal electrode helps to prevent disuniformity of luminance based
`
`
`
`on viewing angle. Ex. 1004, ¶ 31 (“Therefore, interference effect is averaged, and
`
`changes in visual angle dependence in luminance and the light emitting spectrum
`
`and variation in membrane thickness are suppressed.”); Ex. 1007, ¶ 66.
`
`C. Eida (Ex. 1005)
`WO 96/25020 (Ex. 1005, certified translation, “Eida”) is a PCT publication,
`
`published on August 15, 1996, which is prior art under 35 U.S.C. §§ 102(a) and
`
`16
`
`

`

`102(b).3 It is substantively identical to U.S. Patent No. 5,909,081, a U.S. counterpart
`
`that was cited during prosecution of the ’450 patent and applied by the Examiner.4
`
`As with the ’450 patent and Utsugi, Eida is directed to organic
`
`electroluminescent display (OLED) technologies. Ex. 1005, 1:5–8; cf. Ex. 1001,
`
`1:6–12, 4:28–33. In particular, it teaches the use of color conversion and color filter
`
`layers to create a multi-color or full-color display. Ex. 1005, 1:5–8; Ex. 1007, ¶ 71.
`
`Eida includes two embodiments directed to structures for multi-color light
`
`emission apparatus, a “first invention” and “second invention.” As shown in
`
`annotated Figure 5 below, the first invention of Eida is a top-emitting apparatus,
`
`including two “fluorescent layers” and three “color filters.” These are formed above
`
`the EL structure, comprising the transparent electrode 1a, the organic compound
`
`layer 1b, and the electrode 1c. Ex. 1007, ¶ 69.
`
`
`3 The original Japanese version of Eida is included as Ex. 1010.
`
`4 Although used as a ground for rejection, U.S. Patent No. 5,909,081 indicates that
`
`its 102(e) date is August 6, 1997, whereas the ’450 patent claims priority to earlier
`
`foreign applications.
`
`17
`
`

`

`
`
`
`
`As shown in annotated Figure 13 below, the second invention of Eida is a
`
`bottom-emitting apparatus, which again includes two fluorescent (color conversion)
`
`layers—a red color conversion layer 3R and a green color conversion layer 3G, as
`
`well as color filters to increase color purity. While only a single blue color filter is
`
`shown in Figure 13 (i.e., blue color filter 14), Eida notes that red and green color
`
`filters can be included as well. Ex. 1005, 38:4–8; Ex. 1007, ¶ 72.
`
`18
`
`

`

`
`
`Eida further explains that filters may be used to promote color purity, see, e.g.,
`
`
`
`Ex. 1005, 10:15–16 (“Further, as shown in FIG. 5, a color filter 9a may be arranged
`
`on each of the fluorescent layers 3 to control the fluorescent colors and thereby to
`
`promote the color purity.”), and that color conversion layers may be used in
`
`conjunction with such color filters to increase color efficiency, see id., 3:8–15; Ex.
`
`1007, ¶ 195.
`
`In view of these disclosures (which appear identically in U.S. Patent No.
`
`5,909,081), the Examiner correctly determined during prosecution of the ’450 patent
`
`that the disclosures of Eida teach (i) that “a fluorescent layer may convert the light
`
`emitted from an organic EL device into light of a wave length longer than that of the
`
`light emitted from the organic EL device” and (ii) that “a color filter may be arranged
`
`on each of the fluorescent layers to control the fluorescent colors and thereby to
`
`19
`
`

`

`promote the color purity.” Ex. 1002, 159 (August 31, 1999 Non-Final Rejection)
`
`(emphases added).
`
`VIII. APPLICATION OF PRIOR ART TO THE CHALLENGED CLAIMS
`Anticipation requires the disclosure in a single prior art reference of each and
`
`every element of the claimed invention, arranged as in the claim. Lindemann
`
`Maschinenfabrik GmbH v. American Hoist & Derrick Co., 730 F.2d 1452, 1458
`
`Fed. Cir. 1984). Ground I details how Utsugi discloses each and every claim element
`
`of claims 1–2, 4–8, and 15–16, as arranged in those claims.
`
`The framework for determining obviousness is set forth in the well-known
`
`factors outlined in Graham v. John Deere Co., 383 U.S. 1, 17–18 (1996). The
`
`Petition analyzes the Graham factors below. Ground II details how claims 1–2, 4–
`
`8, and 15–16 were obvious based on Utsugi and the knowledge of a POSA. Ground
`
`III details how claim 3 of the ’450 patent was obvious based on the combination of
`
`Utsugi and Manabe. Ground IV details how claims 9, 11–13, and 17–18 were
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`obvious based on the combination of Utsugi and Eida.
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`None of the prior art references or arguments in Grounds I–III were
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`considered by the Examiner. Nor was the combination provided in Ground IV,
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`including the Utsugi reference that was not before the Examiner. The Fontecchio
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`Declaration (Ex. 1007) was also not before the Examiner. Accordingly, none of the
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`arguments raised in this Petition were previously presented to the USPTO. 35 U.S.C.
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`§ 325(d).
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`A. Ground I: Claims 1–2, 4–8, and 15–16 Are Anticipated by Utsugi.
`As shown below, Utsugi discloses a display with a structure satisfying all of
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`the elements of claims 1–2, 4–8, and 15–16. Therefore, Utsugi anticipates these
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`claims.
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`1.
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`Claim 1
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`1[preamble]: A display apparatus comprising:
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`To the extent the preamble is limiting, it is disclosed by Utsugi. Utsugi
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`discloses a display apparatus, stating, for example, that “[t]he present invention
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`relates . . . in particular to a current-controlled luminous element array of an active
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`matrix type such as for a display purpose.” Ex. 1003, 1:6–9; Ex. 1007, ¶ 73.
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`1[a]: a substrate;
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`Utsugi discloses a substrate, i.e., “glass base 50,” upon which the remainder
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`of the EL element is built. Ex. 1003, 6:37–40; Ex. 1007, ¶ 75.
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`1[b]: active elements formed over said substrate and driven
`by an externally supplied signal;
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`Utsugi discloses active elements formed over said substrate (glass base 50)
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`and driven by an externally supplied signal. Utsugi discloses two active elements,
`
`i.e., “current-controlling transistor QI” and “switching transistor QS.” Ex. 1003,
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`6:19–23. Utsugi discloses that current-controlling transistor QI and switching
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`transistor QS are formed over, i.e., on top of, glass base 50. Ex. 1003, 7:20–45; see
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`also id., Figure 5 (illustrating the gate, drain, and source electrodes, GQI, DQI, and
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`SQI, formed over glass base 50); Ex. 1007, ¶¶ 77–78.
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`As shown in Figure 3 below, the gate of switching transistor QS is connected
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`to the scan electrode line. See also, Ex. 1003, 7:9–12. When “the scan electrode line
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`3N+1 is selected, the switching transistor QS is turned on,” and image data from the
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`signal electrode line 1M is “imposed via the switching transistor QS on the charge
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`holding capacitor C” and the gate of current-controlling transistor QI. Id., 8:11–16;
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`Ex. 1007, ¶ 79. Accordingly, the switching transistor is driven by the external signal
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`from the scan electrode line, while the drive transistor is driven by the external signal
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`from the signal electrode line. Ex. 1007, ¶ 79.
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`
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`1[c]: an insulation film formed over said substrate so as to
`cover said active elements, said insulation having at least one
`contact hole;
`
`Utsugi discloses an insulation film, i.e., a SiO2 layer, formed over said
`
`substrate (glass base 50) so as to cover said active elements (transistors QS and QI),
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`said insulation film having at least one contact hole.
`
`First, Utsugi discloses that after the switching transistor QS and current
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`controlling transistor QI are formed on the substrate, Ex. 1003, 7:20–45, “a SiO2
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`layer is let grow 200 nm, before an etching to open the second contact holes 56B for
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`intercommunication between the source electrode SQI of the current-controlling
`
`transistor QI and the electron injection electrode 55 to be formed as a lower electrode
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`of the organic thin-film EL element.” Ex. 1003, 7:46–51; Ex. 1007, ¶ 82. As a POSA
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`would appreciate, SiO2 is a commonly used insulating material. Ex. 1007, ¶ 82.
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`Second, Utsugi discloses that, as shown in annotated Figure 5 below, the SiO2
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`layer covers the active element QI, and that a contact hole 56B is formed in the SiO2,
`
`so as to allow contact between the electron injection electrode 55 and the drain
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`electrode DQI of the current-controlling transistor QI. Ex. 1003, 7:46–51; Ex. 1007,
`
`¶ 83.
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`
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`Third, Utsugi describes the SiO2 layer as being deposited over the “luminous
`
`
`
`element array,” Ex. 1003, 7:16–19, after switching transistor QS has been formed—
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`and accordingly teaches that the SiO2 layer covers the active element QS. Figure 5
`
`shows the SiO2 layer as being continuous, apart from having the second contact hole
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`56B (which is the only portion of the SiO2 layer that is disclosed as being patterned).
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`Ex. 1003, 7:47–52; Ex. 1007, ¶ 84. Further, the pixel electrode is described as
`
`covering the majority of the pixel, including both transistors, see Ex. 1003, Figure
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`4, meaning that the SiO2 layer must cover the switching transistor QS, in addition to
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`current-controlling transistor QI, so as to prevent shorting of the source and drain
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`electrodes of the transistors and the electron injection electrode 55. Ex. 1007, ¶ 84.
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`1[d]: at least one first electrode formed on said insulation film
`so as to cover said active elements, and connected to said
`active elements through said at least one contact hole, 1[d]:
`at least one first electrode formed on said insulation film so
`as to cover said active elements, and connected to said active
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`elements through said at least one contact hole, said at least
`one first electrode being made of a material which shields
`visible light;
`
`Utsugi discloses this limitation. First, Utsugi discloses a first electrode, i.e.,
`
`electron injection electrode 55, formed on said insulation film (SiO2 layer), as shown
`
`in annotated Figure 5, below. See also Ex. 1003, 7:47–57 (“[A] SiO2 layer is let
`
`grown 200 nm . . . [t]hen, an MgAg layer is let to grow 200 nm . . . .”); Ex. 1007, ¶
`
`86.
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`
`
`
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`As shown in annotated Figure 4 below, the electron injection electrode 55
`
`
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`(purple) is formed so as to cover almost the entirety of the pixel, including both
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`transistors. See also Ex. 1003, 6:23–29 (“The luminescent element EL as a layered
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`organic thin-film EL element extends over the capacitor C and the transistors QI and
`
`QS, covering substantially the entirety of the picture element region.”); Ex. 1007, ¶
`
`87.
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`
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`
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`Second, Utsugi discloses that the first electrode is connected to said active
`
`
`
`elements (transistors QS and QI) through a contact hole, as shown in Figure 5 and as
`
`described in the manufacturing steps: “etching to open the second contact holes 56B
`
`for intercommunication between the source electrode SQI of the current-controlling
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`transistor QI and the electron injection electrode 55.” Ex. 1003, 7:46–51; Ex. 1007,
`
`¶ 88.
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`Third, Utsugi discloses that this first electrode (electron injection electrode)
`
`is made of a “metallic material MgAg.” Ex. 1003, 6:47–50. A metallic electrode
`
`made of MgAg would be reflective and shield visible light. Ex. 1007, ¶ 89. Indeed,
`
`the ’450 patent identifies magnesium-based metals, such as MgAg and MgIn as
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`suitable materials for forming the first electrode (cathode), which is described as
`
`shielding visible light. Ex. 1001, 8:49–54, 17:25–27.
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`1[e]: an organic electroluminescent layer having an organic
`electroluminescent material formed on said at least one first
`electrode so as to cover said active elements and including at
`least one layer which emits light in accordance with a volta