Samsung Electronics Co., Ltd. v. Demaray LLC
`Samsung Electronic's Exhibit 1052 Vol 4.
`Exhibit 1052, Page 1490
`
`Ex. 1052, Page 1490
`
`

`

`EFS—Web Receipt date: 07/28/2005
`
`Complete if Known
`
`“3101863 — GAL}: 2823
`
`
`
`
`—_—--t-‘-.
`
`
`
`IDS Form PTO/SB/OB: Substitute for form 1449AIPTO
`
`
`
`
`
`
`STATEMENT BY APPUCANT
`
`
`
`(Useasmanysneetsasnecessaw
`
`
`
`INFORMATION DISCLOSURE
`
`
`
`NON PATENT LITERATURE DOCUMENTS
`
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`Lasers," COM Technical University of Denmark, 10.sup.th European Conf. On
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`
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`
`Im, et al. “Controlled Super-lateral Growth of Si Films for Microstructural Manipulation
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`
`Im, et al.. “Crystalline Si Films for Integrated Active-Matrix LiquidCrystaI Displays,"
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`
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`
`
`
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`Computer Engineering, University of BC (date unknown).
`
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`unknown).
`
`JOHNSON, J.E. et al., “Monolithicaily Integrated Semiconductor Optical Amplifier and
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`
`JONSSON L.B. et al. "Frequency response in pulsed DC reactive sputtering
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`
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`
`KATO, Kuniharu et al., “PLC Hybrid Integration Technology and Its Application to
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`
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`
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`
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`
`LAMB, William B., "Designing Nonfoil Containing Skins for VIP Applications," DuPont
`VIA Symposium Presenation, (1999).
`
`.
`
`V E
`
`
`
`I,
`I I
`'
`I
`,iviacheite Estrada.
`
`D t
`
`r
`r
`,
`02/31/2008
`
`
`
`.
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through
`EXAMINER:
`citation if not in conformance and not considered. Include copy of this form with next communication to applicant.
`
`ALL REFERENCES CQNStRERED EXCEPT WHERE LtNEE} THRQUGR.
`
`/EViE/
`
`Ex. 1052, Page 1491
`
`Ex. 1052, Page 1491
`
`

`

`EES—Web Receipt date: 07/28/2665
`
`IDS Form PTO/SB/OB: Substitute for form 1449A/PTO
`
`
`
`
`INFORMATION [DIISCLOSUIRIE
`
`
`
`STATEMENT BY APPLIICANT
`
`
`
`(Use as many sheets as necessary)
`
`——_I- Attorney Docket Number
`
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`
`Kit @1863 — GAL}: 2823
`
`Complete if Known
`10/1 01 .863
`March 16, 2002
`ZHANG, Hongmei
`
`ESTRADA Michelle
`
`9140001600
`
`
`
`
`.
`
` NON PATENT LITERATURE DOCUMENTS
`
`LAMB, William et al. "Designing Non-Foil Containing Skins for Vacuum
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`
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`
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`
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`
`
`
`
`
`
`
`
`LEE et al., “Effect of size and roughness on light transmission in a S/SiO.sub.2
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`
`
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`
`
`
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`
`LOVE, J.D. et al.. “Quantifying Loss Minimisation in Single-Mode Fibre Tapers,"
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`
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`WeBZ, pp. 79-82 (2001 ).
`
`
`MEIJERINK et al, LUMINESCENCE OF AG+ IN CRYSTALLlNE AND GLASSY SrB407,
`
`
`Journal of Physics and Chemistry of Solids, Vol. 54, No. 8, pp. 901-906, (1993).
`
`
`MESNAOUl et al, "Spectroscopic properties of AG+ ions in phospage glasses of
`NaPOaAgPoa system", EUROPEAN JOURNAL OF SOLID STATE AND INORGANIC
`
`
`
`
`CHEMISTRY, Vol. 29, pages 1001-1013, 14 pages (1992).
`
`
`
`MITOMI, O. et al., “Design of a Single-Mode Tapered Waveguide for Low-Loss Chip-
`to-Fiber Coupling,: IEEE Journal of Quantum Electronics, 30(8):1787-1793, (1994).
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`2001 ).
`
`
`
`OHKUBO et al., "Polarization-Insensitive Arrayed-Waveguide Grating Using Pure Si)2
`Cladding," Fifth Optoelectronics and Communication Conference (OECC 2000)
`Technical Digest, 2 pages (Jul. 2000).
`
`OHMI et al., "Rare earth metal oxides for high-K gate insulator," Tokyo Institute of
`Technology,(date unknown).
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`glass waveguide", J. Appl. Phys. 78(6), pp. 3617-3621 (1995).
`
`
`
`ONO et al., "Design of a Low-loss Y-branch Optical Waveguide," Fifth Optoelectronic
`and Communications Conference (OECC 2000) Technical Digest, 2 pages (Jul. 2000).
`
`
`
`
`
`‘ Examiner
`Signature
`
`Michelle siraa/
`
`Date
`, Considered
`
`02/21/2008
`
`'
`.
`
`
`
`Initial if reference considered. whether or not citation is in conformance with MPEP 609. Draw line through
`EXAMINER:
`citation if not in conformance and not considered.
`Include copy of this form with next communication to applicant.
`
`ALL REFERENCES CGNSiRERED EXCEPT WHERE LiNEE} THROUGH.
`
`iME/
`
`Ex. 1052, Page 1492
`
`Ex. 1052, Page 1492
`
`

`

`If
`
`BEES—Web Receipt date: 07/28/2005
`
`tQiQ’ESGB — GAL}: 2823
`
`IDS Form PTO/SB/08: Substitute for form 1449A/PTO
`
`INFORMATION DISC LOSURE
`;.
`STATEMENT 'Y APPLICANT
`(Use as many sheets as necessary)
`natal—“I- Anomeyoockemumber
`
`Complete 'f Known
`1 0/101 ,863
`Application Number
`24:;03é6h2002
`:ilinthDatedl
`t
`Man-i _
`ESTRADA, Michelle
`emoomo
`
`
`
`NON PATENT LITERATURE DOCUMENTS
`
`PADMINI et aI. "Realization of High Tunability Barium Strontium Titanate Thin Films by
`RF Magnetron Sputtering," College of Engineering, University of California, Santa
`Barbara. (date unknown).
`
`PETERS et al., "Formation mechanism of silver nanocrystals made by ion irradiation
`of Nat-Ag“ ion-exchanged sodalime silicate glass", Nuclear Instruments and Methods
`in Physics Research B 168, pp. 237-244 (2000).
`
`RAJARAJAN, M. et al., "Numerical Study of Spot-Zise Expanders for an Efficient OEIC
`to SMF Coupling," EEE Photonics Technology Letters, 10(8):1082-1084, (1998).
`RAMASWAMY et al., "Ion-Exchanged Glass Waveguides: A Review", Journal of
`Lightwave Technology, Vol. 6, No. 6, pp. 984—1001 (1988)
`
`Sanyo Vacuum Industries Co., Ltd. Products Info, Ti02, (2003).
`htt
`://www.san ovac.co.'
`/En Iishweb/ roducts/ETi02.htm
`
`SCHERMER, R. et al., "Investigation of Mesa Dielectric Waveguides,", Proceedings of
`the OSA Integrated Photonics Research Topical Meeting and Exhibit, Paper No. lWB3
`(Jun 2001 ).
`
`Second International Symposium of Polymer Surface Modification: Relevance to
`Adhesion, Preliminary Program (1999).
`
`Seventh International Conference on Ti02 Photocatalysis: Fundamentals &
`Applications, Toronto, Ontario, Canada, Final Program (November 17-21, 2002)
`SEWELL, P. et al., “Rib Waveguide Spot-Size Transformers: Modal Properties,”
`Journal of Li htwave Technolo
`, 17(5):848-856, (1999).
`
`SLOOFF et al, "Optical properties of Erbium-doped organic polydentate cage
`complexes", J. Appl. Phys. 83, pp. 497-503 (Jan. 1998).
`
`SMITH, R.E., “Reduced Coupling Loss Using a Tapered-Rib Adiabatic-Following Fiber
`Coupler," IEEE Photonics Technology Letters, 8(8):1052-1054 (1996).
`STROHHOFER, et al. "Energy transfer to Er *in Ag ion-exchanged glass", FOM
`Institute for Atomic and Molecular Physics, 10 pages (date unknown).
`
`SUGIYAMA et al., "Gas Permeation Through the Pinholes of Plastic Film Laminated
`with Aluminium Foil," Vuoto, Vol. XXVIII, N. 1-2 - Gennaio-Guigno (1999).
`
`TERVONEN, A., "Challenges and opportunities for integrated optics in optical
`networks," Part of the SPIE Conference in Integrated Optics Devices Ill, SPIE vol.
`3620, pp. 2-11 (Jan. 1999).
`TREICHEL et al., “The influence of pulsed magnetron sputtering on topography and
`crystallinity of Ti02 films on glass," Space and Coatings Technology, Vol. 123, pp.
`268-272 (2000).
`
`Tukamoto, H. et al., “Electronic Conductivity of LiCoOs and Its Enhancement by
`Magnesium Doping," J. Electrochem. Soc., vol. 44, no. 9, pages 3164-3168
`(September 1997).
`
`VILJANEN et al, "Planar Optical Coupling Elements for Multimode Fibers with Two-
`Step Ion Migration Process", Applied Physics, 24, No. 1, pp. 61-63 (January 1981 ).
`
`VILLEGAS et al, "Optical spectroscopy ofa soda lime glass exchanged with silver",
`Physics and Chemistry of Glasses 37(6), pp. 248-253 (1996).
`
`Eraminer
`Signature
`
`Michelle Estrada/
`
`Date,
`Consndered
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through
`EXAMINER:
`citation if not in conformance and not considered. Include copy of this form with next communication to applicant.
`
`ALL REFERENCES CGNSiRERED EXCEPT WHERE UNER THROUGH.
`
`lME/
`
`Ex. 1052, Page 1493
`
`Ex. 1052, Page 1493
`
`

`

`“3101863 — GAL}: 2823
`EFS—Web Receipt date: 07/28/2005
`
`
`IDS Form PTO/SB/08: Substitute for form 1449AIPTO
`Complete if Known
`
`
`10/101 ,863
`
`
`
`
`INFORMATION DISCLOSURE
`
`
`
`STATEMENT BY APPLIICANT
`
`
`
`ESTRADA, Michelle
`(Use as many sheets as necessary)
`
`
`9140001600
`_-“‘- Attorney Docket Number
`
`
`
`
`Application Number
`
`Filingbate
`F'rst Named In entor
`’
`.
`V
`Art Unlt
`
`Marc“ 16- 2°02
`ZHANG, Hon me'
`9
`'
`2823
`
`
`
`'
`
`
`NON PATENT LITERATURE DOCUMENTS
`
`
`VON ROTTKAY et al. "Influence of stoichiometry on electrochromic cerium-titanium
`oxide compounds," Lawrence Berkeley National Laboratory, UC Berkeley, CA, (date
`unknown).
`
`
`
`
`
`
`
`
`WILKES, Kenneth T. "Gas Permeation Through Vacuum Barrier Films and its Effect
`on VIP Thermal Performance," Vacuum Insulation Panel Symp., Baltimore, Maryland,
`
`(May 3, 1999).
`
`YANAGAWA, H. et aI., “Index-and-Dimensional Taper and Its Application to Photonic
`Devices,” Journal of Lightwave Technology, 10(5):587-591 (1992).
`Response to Office Action filed on March 14, 2005 in US. Serial No. 10/291,179
`(Attorney Docket No. 09140-0001-00).
`
`- Office Action issued on June 15, 2005 in us. Serial No. 10/291,179
`-- Response to Office Action filed on September 3, 2002 in US. Patent No. 6,533,907
`
`
`(Attorney Docket No. 09140-0001-00).
`
`(Attorney Docket No. 09140-0004-00).
`
`Response to Office Action filed on August 10, 2004 in US Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`
`
`Office Action issued on February 12, 2004 in US Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`Amendment/ROE filed on March 10, 2005 in US. Serial No. 09/903,081 (Attorney
`Docket No. 09140—0014-00).
`Office Action issued on March 17, 2005 in US. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`Response to Office Action filed on June 17, 2005 in US. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`Office Action issued on July 8, 2005 in US. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`Office Action issued on May 14, 2003 in US. Serial No. 10/101,492
`(Attorney Docket No. 09140-0015-00).
`
`(Attorney Docket No. 09140-0015-00).
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`-- Response to Office Action filed on August 14, 2003 in us. Serial No. 10/101,492
`-- Response to Office Action filed on March 3,2004 in US. Serial No. 10/101,492
`-- Response to Office Action filed on February 23, 2004 in U.S. Serial No. 10/101,341
`
`(Attorney Docket No. 09140-0015—00).
`
`(Attorney Docket No. 09140-0017-00).
`
`Response to Office Action filed on December 08, 2004 in US. Serial No. 10/101,341
`(Attorney Docket No. 09140-0017-00).
`Office Action issued on March 14, 2005 in US. Serial No. 10/789,953
`(Attorney Docket No. 09140-0030-00).
`
`
`
`-- Office Action issued March 24, 2005 in us. Application No. 10/851,542 (Attorney
`
`
`Docket No. 09140.0033-00).
`
`
`
`Signature
`
`r’l‘t/llchelle Estrada/
`
` Ekaminer
`
`Date‘
`ConSIdered
`
`02/21/2008
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through
`EXAMINER:
`citation if not in conformance and not considered.
`Include copy of this form with next communication to applicant.
`
`ALL REFERENCES CGNStRERED EXCEPT WHERE LlNEE} THRQUGR.
`
`/EVlE/
`
`Ex. 1052, Page 1494
`
`Ex. 1052, Page 1494
`
`

`

`EFS—Web Receiptda’te: 07/13/2006
`
`@7' (7* 6’6
`
`iQtD'EWGALiZQQggé;
`A?
`a
`
`c
`
`PATENT
`
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
` IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`VVVVVVVVVV
`
`In re Application of:
`
`ZHANG, Hongmei et a1.
`
`Group Art Unit: 2823
`
`Application No.: 10/101,863
`
`Examiner: ESTRADA, Michelle
`
`Filed: March 16, 2002
`
`\\
`
`For:
`
`BIASED PULSE DC REACTIVE
`
`Confirmation No.2 6938
`
`SPUTTERING OF OXIDE FILMS
`
`MAIL STOP AMENDMENT
`
`Commissioner for Patents
`
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`Sir:
`
`TENTH SUPPLEMENTAL INFORMATION DISCLOSURE STATEMENT
`
`UNDER 37 C.F.R. § 1.97ch
`
`Pursuant to 37 C.F.R. §§ 1.56 and 1.97(c), Applicants bring to the attention of the
`
`Examiner the documents on the attached listing. This Tenth Supplemental InformatiOn
`
`Disclosure Statement is being filed after the events recited in Section 1.97(b) but, to the
`
`undersigned's knowledge, before the mailing date of either a Final action, Quayle action, or a
`
`Notice of Allowance. Under the provisions of 37 C.F.R. § l.97(c), the Commissioner is hereby
`
`authorized to charge the fee of $180.00 to Deposit Account No. 06—0916 as specified by
`
`Section 1.l7(p).
`
`Copies of the listed foreign and non-patent literature documents are attached. Copies of
`
`the US. patents and patent publications are not enclosed.
`
`Ex. 1052, Page 1495
`
`Ex. 1052, Page 1495
`
`

`

`EFS—Web- Receipt date: 07/13/2006
`
`10101863 — GAL}: 2823
`
`Appl. No. 10/101,863
`Atty. Docket No. 9140.0016-00
`
`Applicants respectfully request that the Examiner consider the listed documents and
`
`indicate that they were considered by making appropriate notations on the attached form.
`
`This submission does not represent that a search has been made or that no better art exists
`
`and does not constitute an admission that each or all of the listed documents are material or
`
`constitute "prior art." If the Examiner applies any of the documents as prior art against any
`
`claims in the application and Applicants determine that the cited documents do not constitute
`
`"prior art" under United States law, Applicants reserve the right to present to the office the
`
`relevant facts and law regarding the appropriate status of such documents.
`
`Applicants further reserve the right to take appropriate action to establish the patentability
`
`of the disclosed invention over the listed documents, should one or more of the documents be
`
`applied against the claims of the present application.
`
`If there is any fee due in, connection with the filing of this Statement, please charge the
`
`fee to our Deposit Account No. 06-0916.
`
`Respectfully submitted,
`
`FINNEGAN, HENDERSON, FARABOW,
`
`
`
`G
`
`J. dw s
`
`By:
`
`Dated: July 13, 2006
`
`
`
`EXPRESSMAILLABELN.” 7
`
`EV860818417sU
`
`fl
`
`
`
`Reg.N .41,008
`
`-2-
`ALL REFERENCES CGNSiQEEED EXCEPT WHERE LiNEE} THEQUGH.
`
`/EVEE/
`
`Ex. 1052, Page 1496
`
`Ex. 1052, Page 1496
`
`

`

`
`
`Complete ifKnown
`‘3‘ ‘
`is»:gnu—101.0186;
`
`
`z_ Mam-16,2002
`»
`zamanongmei
`
`
`
`STATEMENT BY APPLTC
`2823
`
`
`(Use as many sheet: a: necessary)
`ESTRADA, Michelle
`
`
`
`
`_-—_ Attorney Docket Number
`
`9140-0016-00
`
`“3101863 — GAL}: 2823
`
` U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Examiner
`Cite
`Document Number
`lssue or
`Name of Patentee or
`Pages, Columns. Lines, Where
`
`Initials'
`No.I
`.
`2
`Publication Date
`Applicant of Cited Document
`Relevant Passages or Relevant
`
`-- US 4,710,940
`-- US 4,785,459
`-- US 5,435,826
`-- US 5,512,147
`-- US 5,569,520
`US 5,597,660
`
`
`
`
`
`
`4
`
`US 5,612,152
`
`US 6,168,884 B1
`
`US 6,236,793 B1
`
`US 6,242,132 B1
`
`US 6,365,300 Bl
`
`US 6,760,520 B1
`
`US 6,818,356 B1
`
`12-01-1987
`11-15-1988
`07-25-1995
`04-30-1996
`10-29-1996
`01-28-1997
`
`03-18-1997
`
`01-02—2001
`
`05-22-2001
`
`06-05-2001
`
`04-02~2002
`
`07-06-2004
`
`11-16-2004
`
`Sipes, Jr.
`Baer
`
`Sakakibara et a1.
`
`Bates et a1.
`
`Bates
`
`Bates et a1.
`
`Bates
`
`Neudecker et 211.
`
`Lawrence et a1.
`
`Neudecker et al.
`
`Ota et a1.
`
`Medin et al.
`
`Bates
`
`
`
`
`
`gag/2998
`
`US 2001/0031122 A1
`
`10—18—2001
`
`Lackritz et a1.
`
`US 2003/0185266 A1
`
`10-02-2003
`
`Henrichs
`
`06-22-2006
`-- us 2006/0134522 A1
`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
`
`Zhang et a1.
`
`Examiner
`lnitials'
`
`.
`
`Foreign Patent Document
`
`Country Code} Number' Kind Code5 (1;!known)
`
`Publication Date
`MM-DD—YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines,
`Where Relevant Passages or
`Relevant Figures Appear
`
`Translation6
`
`FOREIGN PATENT DOCUMENTS
`
`E min r
`53m;
`
`'
`, I
`I,
`Michelle Estrada/
`
`Da
`
`I"
`
`I
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not
`EXAMINER:
`in conformance and not considered. Include copy of this form with next communication to applicant.
`
`EV 860818417 US
`
`ALL REFERENCES CGNSiQEEEE EXCEPT WHERE LiNEE} THROUGH.
`
`/EV1E/
`
`Ex. 1052, Page 1497
`
`Ex. 1052, Page 1497
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`

`

`Complete ifKnown
`
`“3101863 — GAL}: 2823
`
`
`
`EFS—Web Receipt date: 07/13/2006
`
`IDS Form PTO/SB/OS: Substitute for form I449A/PTO
`
`
`Appl.-mm...”
`
`W0...
`
`INFORMATION DISCLOSURE
`
`Firsmamewmm
`
`mum:
`Examinemame
`
`9140.0016-00
`Attorney Docket Number
`
`
`
`“7 NON PATENT LITERATURE DOCUMENTS
`
`Translation6
`
`Ex miner
`Cite
`Inc glibIL’y’he author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book,
`
`Initials‘
`No.'
`magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or
`
`
`country where published.
`
`
`
`
`
`
`
`COCORULLO, G. et a1., "Amorphous silicon waveguides and light modulators for integrated
`photonics realized by low-temperature plasma-enhanced chemical-vapor deposition," Optics
`Lett. 21(24):2002—2004 (1996).
`
`
`
`Notice of Allowance mailed August 6, 2002, for US Patent No. 6,506,289 (Atty. Docket No.
`09140.0002-01).
`'
`
`Final Office Action'mailed June 9, 2006 in U.S. Appl. No. 11/100,856 (Atty. Docket No.
`09140.0015-01).
`
`
`
`
`
`
`-- Office Action issued on March 23, 2006, in U.S. Application No. 10/650,461 (Atty. Docket
`No. 09140-0025-00).
` Specification as filed September 2, 2005, for U.S. Appl. No. 1 1/218,652 (Atty. Docket No.
`
`09140.0052-00000).
`
`
` /E\/Iicheiie Estrada/
`
`Considered
`
`Signature
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not
`EXAMINER:
`in conformance and not considered. Include copy of this form with next communication to applicant.
`
`EV 860818417 US
`
`ALL REFERENCES CGNStDERED EXCEPT WHERE UNED THROUGH.
`
`/EV1E/
`
`Ex. 1052, Page 1498
`
`Ex. 1052, Page 1498
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`

`

`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Illlllllllllllllllllllllllllllllllllllllllllllllll
`Bib Data Sheet
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`
`WEWWM
`mumtogov
`
`COW/Anon N0. 6938
`
`GROUP ART UNIT
`2823
`
`ATTORNEY
`DOCKET NO.
`10655.0016-00
`
`SERIAL NUMBER
`10/101'863
`
`‘ PPLICANTS
`
`FILING OR 371(6)
`DATE
`03/16/2002
`
`RULE
`
`Hongmei Zhang, San Jose, CA;
`Mukundan Narasimhan, San Jose, CA;
`Ravi B. Mullapudi, San Jose, CA;
`Richard E. Demaray, Portola Valley, CA;
`
`* CONTINUING DATA *****************i“*******
`
`* FOREIGN APPLICATIONS *ttkfittiititktifit'ki'k
`
`for following:
`
`IF REQUIRED, FOREIGN FILING LICENSE GRANTED“
`** 05/17/2002
`
`SMALL ENTITY
`
`.*
`
`D yes D "°
`Foreign priority Claimed
`‘5 ”SC 119(a'd’°°”‘““°”$ D yes D "0 El Metafler
`
`STATE OR
`COUNTRY
`
`SHEETS
`DRAWING
`
`INDEPENDEN
`CLAIMS
`
`Examiner's Si- nature
`
`Initials
`
`‘ DDRESS
`r2852
`
`ITLE
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`'
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`_
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`BIASED PULSE DC REACTIVE SPUTTERING OF- OXIDE FILMS
`
`_
`
`FEES: Authority has been given in Paper
`FILING FEE
`RECEIVED NO.
`to charge/credit DEPOSIT ACCOUNT
`
`Ex. 1052, Page 1499
`
`Ex. 1052, Page 1499
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria1 Virginia 22313-1450
`wwwnsptogov
`
`APPLICATION NO.
`
`
`
`
`
` F ING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`
`
`
`
`CONF {MATION NO.
`
`10/ 101,863
`
`03/ 16/2002
`
`Hongmei Zhang
`
`10655 .0016-00
`
`6938
`
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`
`901 NEW YORK AVENUE, NW
`WASHINGTON, DC 20001 -4413
`
`ESTRADA, MICHELLE
`
`PAPER NUMBER
`
`ART UNIT
`2823
`
`MAIL DATE
`
`03/ 1 3/2008
`
`DELIVERY MODE
`
`PAPER
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`PTOL—90A (Rev. 04/07)
`
`Ex. 1052, Page 1500
`
`Ex. 1052, Page 1500
`
`

`

`
`
`UNITED STATES DEPARTMENT OF COMMERCE
`
`U.S. Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`
`Alexandria, Virginia 22313-1450
`
`APPLICATION NO]
`CONTROL NO.
`10101863
`
`FILING DATE
`
`3/16/02
`
`FIRST NAMED INVENTORI
`PATENT IN REEXAMINATION
`ZHANG ET AL.
`
`ATTORNEY DOCKET NO.
`
`10655.0016-00
`
`EXAMINER
`
` LLP Michelle Estrada
`
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`
`901 NEW YORK AVENUE, NW
`WASHINGTON, DC 20001-4413
`
`ART UNIT
`
`PAPER
`
`2823
`
`20080304
`
`DATE MAILED:
`
`Please find below and/or attached an Office communication concerning this application or
`proceeding.
`
`Attached is the IDS filed 2/ 13/08 that have been considered.
`
`Commissioner for Patents
`
`PTO-900 (Rev.04-03)
`
`lMichelle Estrada/
`
`Primary Examiner, Art Unit 2823
`
`Ex. 1052, Page 1501
`
`Ex. 1052, Page 1501
`
`

`

`EFS
`
`b. Receipt date: 02/13/2008
`iQiQ’iSGB — GAL}: 2823
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`/
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`Complete if Known
`IDS Form 3% 8/08: Substitute for form 1449A/PTO
`2
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`10/101 ,863
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`
`4, RMATION DISCLOSURE
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`‘
`4 TEMENT BY APPLICANT
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`’,
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`(Use as many sheets as necessary)
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`Application Number
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`Filing Date
`First Named In e t‘
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`V n or
`Art Unit
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`March 16, 2002
`Hon mei ZHANG
`g
`2823
`Michelle ESTRADA
`
`Anorneyoockemumber
`
`rosssome-oo
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`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`
`'
`
`Examiner
`Initials
`
`Cite
`No.1
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`Document Number
`.
`2
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`Number-Kind Code (Ifknown)
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`Issue or
`Publication Date
`MM-DD—YYYY
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`Name of Patentee or
`Applicant of Cited-Document
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`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
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`Forei n Patent Document
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`Publication Date
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`Applicant of Cited Document Where Relevant Passages
`or Relevant Figures
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`Translation6
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`Country Code3 Number‘ Kind Code5 (if known)
`
`NONPATENT LITERATURE DOCUMENTS
`
`10655.0025-00).
`
`Cite
`No.1
`
`Examiner
`Initials
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
`(book, magazine, journal, serial, symposium. catalog, etc), date, page(s), volume-issue number(s),
`publisher, city and/or country where published.
`Response to Office Action dated November 21, 2007, in U.S. Appl. No. 10/291,179 (Attorney Docket No.
`9140.0001-00).
`Response to Office Action dated December 5, 2007, in U.S. Application No. 09/903,081 (Attorney Docket
`No. 9140.0014—00).
`Final Office Action dated January 29, 2008, in U.S. Application No. 09/903,081 (Attorney Docket No.
`9140.0014-00).
`in U.S. Application No. 11/100,856 (Attorney Docket No. 9140.0015-
`-- Office Action dated January 25, 2008.
`01).
`Response to Office Action dated December 18, 2007, in US. Application No. 10/954,182 (Attorney Docket
`No. 9140.0016-01).
`Notice of Allowance dated February 1, 2008, in U.S. Application No. 10/954,182 (Attorney Docket No.
`9140.0016—01).
`Office Action dated November 16, 2007, in U.S. Application No. 10/650,461 (Attorney Docket No.
`
`Translation6
`
`Ex
`
`I
`
`
`
`II
`
`-
`I
`Michelle Estrada
`
`/
`
`Dt
`
`Ii
`I
`03/042008
`
`
`
`initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through
`EXAMINER:
`citation if not in conformance and not considered.
`Include copy of this form with next communication to applicant.
`
`VIWXPRESS MAIL LABEL NO.
`
`
`
`,
`
`7
`
`
`
`9,7,, EM 7047411 US
`ALL REEERENESC CQNSiQERED EXCEPT WHERE LlNEE} THRQUGH.
`
`/EVIE/
`
`Ex. 1052, Page 1502
`
`Ex. 1052, Page 1502
`
`

`

`
`
`e. FORMATION DISCLOSURE
`
`
`First Named Inventor
`DAWES. David
`
`it 10‘
`..~,
`
`
`
`"
`DUPUls- Derek L-
`
`Attorney Docket Number
`10655.0025-00
`
`
`
`Issue or
`. Publicwon Date
`
`Pages. Cohanns. Unes. Where
`Relevant Passages or Retevent
`Figures Appear
`
`Pages. Columns. Linea.
`Name of Patentee or
`Applicant o1 Cited Document Where Relevant Passages
`
`Translation°
`
`EH99
`
`or Relevant Flames
`
`
`
`
`
`
`
`
`
`NON PATENT LITERATURE DOCUMENTS
`0
`EI!§
`
`
`Include name of the author (in CAPITAL LETTERS). litie of the article (when appropriate). title 01 the item
`(book. magazine. journal. serial. symposium. catalog. etc). date. page(s). volume-Issue numbeds).
`publisher. city and/or country where published.
`Amendment/ROE filed August 9. 2007. in US. Application No. 091903.081 (Attorney Docket No. 9140.0014-
`00).
`Ollioe Action dated September 5. 2007. in us. Application No. 091903.081 (Attorney Docket No.
`9140.0014-00).
`'
`Final Office Action dated September 7. 2007. In US. Application No. 111100.856 (Attorney Docket No.
`9140.0015-01).
`Response to Final Oflica Action filed Odober 2 2007 m U 5 Application No 101101 863 (Attorney Docket
`No. 9140 001600).
`Final Office Action dated July 24 2007 In U S Application No 101954 182 (Attorney Dodtet No
`9140.001&01 ).
`
`\Ul—U\
`
`\a.9.—99
`
`
`
`
`
`
`
`“—m" ’De'e" DUPU‘S’
`
`a
`
`initial if reference considered, whether or not citation is in conformance with MPEP 809. Draw line through
`EXAMINER:
`citation if not in conformance and not considemd. Include copy of this form with next communication to applicant.
`
`EM 100825650 US
`
`‘
`
`ALL REFERENCES CQNSiQERED EXCEPT WHERE UNEE} THRQUGH.
`
`/EVEE/
`
`Ex. 1052, Page 1503
`
`Ex. 1052, Page 1503
`
`

`

`~e«uwmmmmmmummanmlMnmmpmmmrmz
`Commissioner for Patents
`P.O. Box 1450
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`INSTRUCTIONS: This fo w.
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`e mailed to the current corr
`ondence address as
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`in
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`Lherelbg certify dig;this cwlpgndegtg 1s b6125131:05in With the gmfilgigfi
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`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
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`03/14/2008 RHEBRAHI 00000018 060916
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`10101863
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`CmmMEmdwmv‘hx
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`PART B - FEE(S) TRAN
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`” \“x *0 K
`ITTAL
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`01 FC:2501
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`Signed:
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`Hongmei Zhang
`03/16/2002
`10/101,863
`TITLE OF INVENTION: BIASED PULSE DC REACTIVE SPUTTERING OF OXIDE FILMS
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`10655.0016-00
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`6938
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