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

`

`10101863 - GAU: 2823
`EFS-Web Receipt date: 07/28/2005
`
`
`
`Complete if Known
`
`IDS Form PTO/SB/08: Substitute for form 1449A/PTO
`
`
`
`
`
`INFORMATION DISCLOSURE
`
`
`
`
`
`
`STATEMENT BY APPLICANT
`
`
`(Uso as many shets as necessay)
`
`
`
`[SrestTeTot8|AtayDocketNumber|9140.0016-00_SSCS
`
`
`
`
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`
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`
`
` NON PATENT LITERATURE DOCUMENTS
`HUBNER,J. and Guidberg-Kjaer, S., "Planar Er-and Yb-Doped Amplifiers and
`Lasers," COM Technical University of Denmark, 10.sup.th European Conf. On
`Integrated Optics, Session WeB2, pp. 71-74 (2001).
`
`
`Hwang, Man-Sooetal., “The effect of pulsed magnetron sputtering on the properties
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`Im, et al., “Crystalline Si Films for Integrated Active-Matrix LiquidCrystal Displays,”
`MrS Bulletin (March 1996), pages. 39-48.
`Im, et al., “Single-crystal Sifilms for thin-film transistor devices,” American Institute of
`Physics (1997), pages. 3434-3436.
`ITOH, M. et al., “Large reduction of singlemode-fibre coupling loss in 1.5% delta planar
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`JACKSONetal. "An Accurate Compact EDFA Model," Dept. of Electrical and
`Computer Engineering, University of BC (date unknown).
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`unknown).
`JOHNSON, J.E. et al., “Monolithically Integrated Semiconductor Optical Amplifier and
`Electroabsorption Modulator with Dual-Waveguide Spot-Size Converter Input,” IEEE
`Journal of Selected Topics in Quantum Electronics, 6(1):19-25, (2000).
`JONSSONL.B. et al. "Frequency response in pulsed DC reactive sputtering
`processes,” Thin Solid Films, Vol. 365, pp. 43-48 (2000).
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`1999).
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`SiO2,” J. Appl. Phys., Vol. 91, No. 1, pp. 534-536 (January 1, 2002).
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`
`LAMB,William B., "Designing Nonfoil Containing Skins for VIP Applications," DuPont
`VIA Symposium Presenation, (1999).
`
`
`
`
`
`
`
`
`
`
`
`E
`
`i
`
`
`
`/MAI
`
`/Michelle Estrada)
`
`’
`
`/
`
`Dat
`
`|}
`
`Qira
`
`02/27/2008
`
`
`|
`
`EXAMINER:Initial if reference considered, whetheror notcitation is in conformance with MPEP 609. Draw line through
`citation if not in conformance and not considered. Include copyof this form with next communication to applicant.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1491
`
`Ex. 1052, Page 1491
`
`

`

`EFS-Web Receipt date: 07/28/2005
`
`10101863 - GAU: 2823
`
`
`
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`IDS Form PTO/SB/08: Substitute for form 1449A/PTO
`
`
`
`
`
`
`
`
`ESTRADA,Michelle
`(Use as many sheets as necessary)
`|SheetfT7ft8 Attorney Docket Number_[9140.0016-00
`
`
`Application Number
`Filing Date
`First Named inventor
`
`Complete if Known
`10/101 ,863
`March 16, 2002
`ZHANG, Hongmei
`
`
`
`
` NON PATENT LITERATURE DOCUMENTS
`LAMB,William et al. "Designing Non-Foil Containing Skins for Vacuum
`InsulationPanel (VIP) Applications," Vuoto, Vol. XXVIII, No. 1-2 - Gennaio-Giugno
`
`
`
`
`
` 1999, pp. 55-58 (1999).
`
`
`LANGE etal, "High Gain Ultra-Short Length Phosphate glass Erbium-Doped Fiber
`Amplifier Material’, OSA Optical Fiber Communications (OFC), 3 pages (2002).
`
`
`
`LAPORTAetal, "Diode-pumpedcw bulk Er: Yb: glass laser", 1952 Optics Letters/Vol.
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`
`
`LAURENT-LUND, C. et al., "PECVD Grown Multiple Core Planar Waveguides with
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`
`LEE et al., “Effect of size and roughness onlight transmission in a S/SiO.sub.2
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`
`
`Engineering, Massachusetts Institute of Technology, (Jul. 12, 2000).
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`WeBz2, pp. 79-82 (2001).
`
`
`MEIJERINK et al, LUMINESCENCE OF AG" IN CRYSTALLINE AND GLASSYSrB,07,
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`
`
`MESNAOUI et al, "Spectroscopic properties of AG" ions in phospage glassesof
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`
`CHEMISTRY,Vol. 29, pages 1001-1013, 14 pages (1992).
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`
`MITOMI, O. et al., “Design of a Single-Mode Tapered Waveguide for Low-Loss Chip-
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`OHM et al., "Rare earth metal oxides for high-K gate insulator,” Tokyo Institute of
`Technology,(date unknown).
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`ONO etal., "Design of a Low-loss Y-branch Optical Waveguide,” Fifth Optoelectronic
`and Communications Conference (OECC 2000) Technical Digest, 2 pages (Jul. 2000).
`
`
`
`
`
`
`
`
`
`[ Examiner
`Signature
`
`7Michelle Estrada’
`
`Date
`|_Considered
`
`02/21/2008
`
`|
`i
`
`EXAMINER:Initial if reference considered, whetheror notcitation is in conformance with MPEP 609. Drawline through
`citation if not in conformance and not considered.
`include copy of this form with next communication to applicant.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1492
`
`
`
`
`
`
`Ex. 1052, Page 1492
`
`

`

`po
`
`EFS-Web Receipt date: 07/28/2005
`
`IDS Form PTO/SB/08: Substitute for form 14494/PTO
`
`10101863 - GAU: 2823
`
`Application Number
`
`Complete if Known
`10/101 ,863
`
`Physics and Chemistry of Glasses 37(6), pp. 248-253 (1996).
`
`waeae
`INFORMATION DISCLOSURE on .
`STATEMENT BY APPLICANT
`At Uni pees
`
`3
`
`ESTRADA,Michelle
`(Use as many sheets as necessary)
`PT8 Attomey Docket Number|9140.0016-00
`
`NON PATENT LITERATURE DOCUMENTS
`
`PADMINI et al. "Realization of High Tunability Barium Strontium Titanate Thin Films by
`RF Magnetron Sputtering,” College of Engineering, University of California, Santa
`Barbara. (date unknown).
`PETERSetal., "Formation mechanism of silver nanocrystals made byion irradiation
`of Na’--Ag’ ion-exchanged sodalimesilicate 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,” IEEE Photonics Technology Letters, 10(8):1082-1084, (1998).
`RAMASWAWMYetal., "lon-Exchanged Glass Waveguides: A Review", Journal of
`Lightwave Technology, Vol. 6, No. 6, pp. 984-1001 (1988)
`Sanyo Vacuum Industries Co., Ltd. Products Info, TiOz, (2003).
`ttp://Awww.sanyovac.co.jp/Englishweb/products/ETiO2.htm
`
`SCHERMER,R. et al., "Investigation of Mesa Dielectric Waveguides,", Proceedings of
`the OSA Integrated Photonics Research Topical Meeting and Exhibit, Paper No. IWB3
`(Jun 2001).
`SecondInternational Symposium of Polymer Surface Modification: Relevance to
`Adhesion, Preliminary Program (1999).
`Seventh International Conference on TiO2 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 Lightwave Technology, 17(5):848-856, (1999).
`SLOOFF etal, "Optical properties of Erbium-doped organic polydentate cage
`complexes", J. Appi. Phys. 83, pp. 497-503 (Jan. 1998).
`SMITH, R.E., “Reduced Coupling Loss Using a Tapered-Rib Adiabatic-Following Fiber
`Coupler,” /EEE Photonics Technology Letters, 8(8):1052-1054 (1996).
`STROHHOFER,etal. "Energy transfer to Er°’in Ag ion-exchanged glass", FOM
`Institute for Atomic and Molecular Physics, 10 pages (date unknown).
`SUGIYAMAet 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 Conferencein Integrated Optics DevicesIII, SPIE vol.
`3620, pp. 2-11 (Jan. 1999).
`TREICHELetal., “The influence of pulsed magnetron sputtering on topography and
`crystallinity of TiO2 films on glass,” Space and Coatings Technology, Vol. 123, pp.
`268-272 (2000).
`Tukamoto,H. et al., “Electronic Conductivity of LiCoO, and Its Enhancement by
`Magnesium Doping,” J. Electrochem. Soc., vol. 44, no. 9, pages 3164-3168
`(September 1997).
`VILJANENetal, "Planar Optical Coupling Elements for Multimode Fibers with Two-
`Step lon Migration Process", Applied Physics, 24, No. 1, pp. 61-63 (January 1981).
`VILLEGASetal, "Optical spectroscopy ofa soda lime glass exchangedwith silver",
`
`EXAMINER:Initial if reference considered, whetheror notcitation is in conformance with MPEP 609. Draw line through
`citation if not in conformanceand not considered. Include copyof this form with next communication to applicant.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1493
`
`Ex. 1052, Page 1493
`
`

`

`EFS-Web Receipt date: 07/28/2005
`10101863 - GAU: 2823
`
`
`IDS Form PTO/SB/08: Substitute for form 1449A/PTO
`
`
`
`
`
`INFORMATION DISCLOSURE
`
`
`
`
`
`STATEMENT BY APPLICANT
`
`
`
`
`
`ESTRADA,Michelle
`(Use as many sheets as necessary)
`
`|Sheet[|fttT Atttomey Docket Number|9140.0016-00
`
`
`
`
`
`Complete if Known
`10/101,863
`March 16, 2002
`ZHANG, Hongmei
`ome
`2823
`
`Application Number
`Filing Date
`First NamedInventor
`as
`Art Unit
`
`NON PATENT LITERATURE DOCUMENTS
`
`VON ROTTKAYetal. "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 andits Effect
`on VIP Thermal Performance," Vacuum Insulation Panel Symp., Baltimore, Maryland,
`(May 3, 1999).
`.
`YANAGAWA,H. etal., “Index-and-Dimensional Taper and Its Application to Photonic
`Devices,” Journal of Lightwave Technology, 10(5):587-591 (1992).
`Responseto Office Action filed on March 14, 2005 in U.S. Serial No. 10/291,179
`(Attorney Docket No. 09140-0001-00).
`Office Action issued on June 15, 2005 in U.S. Serial No. 10/291,179
`(Attorney Docket No. 09140-0001-00).
`
`po Response to Office Action filed on September3, 2002in U.S. Patent No. 6,533,907
`
`(Attorney Docket No. 09140-0004-00).
`Responseto Office Action filed on August 10, 2004 in U.S. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`Office Action issued on February 12, 2004 in U.S. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`Amendment/RCE filed on March 10, 2005 in U.S. Serial No. 09/903,081 (Attorney
`Docket No. 09140-0014-00).
`Office Action issued on March 17, 2005 in U.S. Serial No. 09/903,081
`(Attorney Docket No. 09140-001 4-00).
`Response to Office Action filed on June 17, 2005 in U.S. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`Docket No. 09140.0033-00). Examiner
`
`po Office Action issued on July 8, 2005 in U.S. Serial No. 09/903,081
`Pf Office Action issued on May 14, 2003in U.S.Serial No. 10/101,492
`
`(Attorney Docket No. 09140-0014-00).
`
`(Attorney Docket No. 09140-0015-00).
`Responseto Office Action filed on August 14, 2003 in U.S. Serial No. 10/101 ,492
`(Attorney Docket No. 09140-0015-00).
`Responseto Office Action filed on March 3, 2004 in U.S. Serial No. 10/101 ,492
`(Attorney Docket No. 09140-001 5-00).
`
`Pt| Responseto Office Action filed on February 23, 2004 in U.S. Serial No. 10/101 ,341
`Pt| Response to Office Action filed on December 08, 2004 in U.S. Serial No. 10/101 ,341
`
`Office Action issued on March 14, 2005 in U.S. Serial No. 10/789,953
`(Attorney Docket No. 09140-0030-00).
`Office Action issued March 24, 2005 in U.S. Application No. 10/851,542 (Attorney
`
`Signature
`
`/Michelle Esirada/
`
`Date |
`Considered
`
`02/21/2008
`
`EXAMINER:Initial if reference considered, whetherornotcitation is in conformance with MPEP 609. Drawline through
`citation if not in conformance and not considered.
`Include copyof this form with next communication to applicant.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1494
`
`Ex. 1052, Page 1494
`
`

`

`EFS-Wehb Receipt date: 07/13/2006
`
`O7-(7- 86
`
`sot 91969-GaUChS>
`is
`
` IN THE UNITED STATES PATENT AND TRADEMARKOFFICE
`
`-
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`Group Art Unit: 2823
`
`) ) ) )
`
`In re Applicationof:
`
`ZHANG, Hongmeietal.
`
`Application No.: 10/101,863
`
`) Examiner: ESTRADA, Michelle
`
`Confirmation No.: 6938
`
`) ) ) )
`
`)
`
`Filed: March 16, 2002
`
`~
`
`For:
`
`BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`MAIL STOP AMENDMENT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`Sir:
`
`TENTH SUPPLEMENTAL INFORMATION DISCLOSURE STATEMENT
`UNDER37 C.F.R.§ 1.97(c)
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`Pursuant to 37 C.F.R. §§ 1.56 and 1.97(c), Applicants bringto the attention of the
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`Examiner the documentsonthe attachedlisting. This Tenth Supplemental Information
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`Disclosure Statementis being filed after the events recited in Section 1.97(b) but, to the
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`undersigned's knowledge, before the mailing date ofeither a Final action, Quayle action, or a
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`Notice of Allowance. Underthe provisions of 37 C.F.R. § 1.97(c), the Commissioner is hereby
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`authorized to charge the fee of $180.00 to Deposit Account No. 06-0916 as specified by
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`Copiesofthe listed foreign and non-patent literature documents are attached. Copies of
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`Abb REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`or Fos1006
`
`Ex. 1052, Page 1495
`
`Ex. 1052, Page 1495
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`

`

`EFS-WebReceipt date: 07/13/2006
`
`10101863 - GAU: 2823
`Appl. No. 10/101,863
`Atty. Docket No. 9140.0016-00
`
`Applicants respectfully request that the Examiner considerthe 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 madeorthat no better art exists
`
`and does not constitute an admissionthat eachorall of the listed documents are material or
`
`constitute "prior art." If the Examiner applies any of the documentsas priorart against any
`
`claims in the application and Applicants determine that the cited documents do not constitute
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`"prior art" under United States law, Applicants reserve the right to present to the office the
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`relevant facts and law regarding the appropriate status of such documents.
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`Applicants further reserve the right to take appropriate action to establish the patentability
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`applied against the claims of the present application.
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`Respectfully submitted,
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`FINNEGAN, HENDERSON, FARABOW,
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` Dated: July 13, 2006
`
`By:
`
`J. Edwafds
`Gaff
`Reg. N6é. 41,008
`
`
`
`©
`EXPRESS MAIL LABELNO.
`| _EV860818417US_
`
`
`
`-2-
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1496
`
`Ex. 1052, Page 1496
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`

`

`
`
`
`
`10101863 - GAU: 2823
`
`
`Complete ifKnown
`Bt
`{ByFGgplcationNumber|107101863
`
`[AijingDate|March 16, 2002
`
`
`ZHANG, Hongme
`
`
`STATEMENT BY APPLIC
`2823
`
`(Use as many sheets as necessary)
`ESTRADA,Michelle
`
`
`
`
`pSheetPo2 Attorney Docket Number 9140.0016-00
`
` U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`
`Examiner
`Cite
`Document Number
`Issue or
`NameofPatentee or
`Pages, Columns, Lines, Where
`Initials”
`No.!
`J
`2
`Publication Date
`Applicant of Cited Document
`Relevant Passages or Relevant
`
`
`
`US 2001/0031122 Al
`
`
`
`Country Code? Number* Kind Code?(ifknown) Examiner
`
`po
`Pp
`po
`Pp
`JUS6,168884B1{01-02-2001[Neudeckeretal.|
`}US6,236,793B1__[05-22-2001[Lawrenceetal|
`}US6,242,132B1[06-05-2001[Neudeckeretal|
`
`Jus6,365300B1[04-02-2002[Omer|
`jus6,760,520B1[07-06-2004[Medinet|
`
`jus6818356B1[11-46-2004[Bates|
`Pp
`po
`US 2003/0185266 Al
`10-02-2003
`pe
`
`FT US 2006/0134522 Al 06-22-2006|Zhangetal.
`
`
`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
`
`10-18-2001
`
`Lackritz et al.
`
`Examiner
`Initials”
`
`i
`
`Foreign Patent Document
`
`Publication Date
`MM-DD-YYYY
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`Nameof Patentee or
`Applicant of Cited Document
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`Pages, Columns,Lines,
`Where Relevant Passages or
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`
`Translation®
`
`FOREIGN PATENT DOCUMENTS
`
`Same
`
`/
`i i
`°
`/Micheile Estrada/
`
`Da
`
`it
`i
`02/24/2008
`
`EXAMINER:Initial if reference considered, whether or not citation is in conformance with MPEP 609. Drawline throughcitation if not
`in conformance and not considered. Include copyofthis form with next communication to applicant.
`
`EV 860818417 US
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1497
`
`Ex. 1052, Page 1497
`
`

`

`10101863 - GAU: 2823
`
`Complete ifKnown
`
`ESTRADA,Michelle
`9140.0016-00
`
`Application Number
`Filing Dat
`First Named Inventor
`Art Unit
`
`Examiner Name
`Attorney Docket Number
`
`
`
`yur 13 1008
`TOSO~*~*~*t:OCNOg NON PATENT LITERATURE DOCUMENTS
`
`Examiner|Cite In¢ SERADDEorthe author (in CAPITAL LETTERS),title ofthe article (when appropriate),title of the item (book, Translation®
`
`magazine, journal, serial, symposium,catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or
`Initials”
`No.!
`
`
`country where published.
`COCORULLO,G. et al., "Amorphoussilicon 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 Actionmailed June 9, 2006in U.S. Appl. No. 11/100,856 (Atty. Docket No.
`09140.0015-01).
`
`
`
`
`
`
`
`
`
`Specification as filed September 2, 2005, for U.S. Appl. No. 11/218,652 (Atty. Docket No.
`09140.0052-00000).
`
`
`EFS-Web Receipt date: 07/13/2006
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`IDS Form PTO/SB/08: Substitute for form 1449A/PTO
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`
`
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`
`
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT
`1peops)
`
`
`
`
`
`
`Office Action issued on March 23, 2006, in U.S. Application No. 10/650,461 (Atty. Docket No. 09140-0025-00).
`
`
`
`
`
` Michelle Estrada’
`
`Considered
`
`Signature
`
`EXAMINER:Initial if reference considered, whether or not citation is in conformance with MPEP 609. Drawline throughcitation if not
`in conformance and not considered. Include copyofthis form with next communication to applicant.
`
`EV 860818417 US
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1498
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`Ex. 1052, Page 1498
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`

`

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`
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`UNITED STATES PATENT AND TRADEMARK OFFIGE
`
`IC
`
`Bib Data Sheet
`
`SERIAL NUMBER
`10/101,863
`
`FILING OR 371(c)
`DATE
`03/16/2002
`RULE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`P.O. Box 1450
`Address: COMMISSIONER FOR PATENTS
`Alexandria, Viginia 22313-1450
`www.uspto.gov
`
`CONFIRMATIONNO.6938
`
`GROUP ART UNIT
`2823
`
`ATTORNEY
`DOCKET NO.
`
`10655.0016-00
`
`* CONTINUING DATA JOOISSIIITA
`
`* FOREIGN APPLICATIONS REKEREKEKREKREKRERERREKRE
`
`ae
`
`APPLICANTS
`Hongmei Zhang, San Jose, CA;
`Mukundan Narasimhan, San Jose, CA;
`Ravi B. Mullapudi, San Jose, CA;
`Richard E. Demaray, Portola Valley, CA;
`
`for following:
`
`IF REQUIRED, FOREIGN FILING LICENSE GRANTED...
`** 05/17/2002
`CJ yes i no
`Foreign Priority claimed
`
`STATE OR|SHEETS INDEPENDEN
`35 USC 119 (a-d) conditions L) yes CD no CD metafter
`
`
`Allowance COUNTRY|DRAWING CLAIMS
`met
`CA
`27
`5
`Examiner's Signature
`Initials
`
`SMALL ENTITY
`
`ADDRESS
`22852
`
`ITLE
`
`BIASED PULSE DC REACTIVE SPUTTERING OFOXIDE FILMS
`
`Cj All Fees
`
`C) 1.16 Fees(Filing )
`
`|FEES: Authority has been given in Paper
`FILING FEE
`RECEIVED _|No.
`to charge/credit DEPOSIT ACCOUNT
`
`Ex. 1052, Page 1499
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`Ex. 1052, Page 1499
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`

`

`
`
`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
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`
`
`
` FILING DATE
`
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`
`
`
`CONFIRMATIONNO.
`
`
`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
`
`2823
`
`MAIL DATE
`
`03/13/2008
`
`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
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`APPLICATION NO./
`CONTROL NO.
`10101863
`
`FILING DATE
`
`3/16/02
`
`FIRST NAMED INVENTOR /
`PATENT IN REEXAMINATION
`ZHANGET AL.
`
`ATTORNEY DOCKETNO.
`
`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
`
`/Michelle Estrada/
`Primary Examiner, Art Unit 2823
`
`PTO-90C (Rev.04-03)
`
`Ex. 1052, Page 1501
`
`Ex. 1052, Page 1501
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`

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`EFSWa b Receipt date: 02/13/2008 10101863 - GAU: 2823
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`
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`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
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`,
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`
`
`Examiner|Cite Document Number Issue or Nameof Patentee or Pages, Columns, Lines, Where
`
`Initials
`No.'
`;
`2.
`Publication Date
`Applicant of Cited Document
`Relevant Passagesor Relevant
`Number-Kind Code’
`(i known)
`MM-DD-YYYY
`Figures Appear
`PP
`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
`
`Examiner Pages, Columns, Lines,|Translation®Publication Date Nameof Patentee or
`
`
`
`
`Initiats Applicant of Cited Document|Where Relevant Passages. Foreign Patent Document MM-DD-YYYY
`
`
`
`or Relevant Figures
`Appear
`
`Country Code® Number* Kind Code? (i known)
`
`FOREIGN PATENT DOCUMENTS
`
`NONPATENT LITERATURE DOCUMENTS
`
`Examiner|Cite Include nameof the author (in CAPITAL LETTERS),title of the article (when appropriate),title of the item
`
`Initials
`No."
`(book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s),
`publisher, city and/or country where published.
`Responseto Office Action dated November21, 2007, in U.S. Appl. No. 10/291,179 (Attorney Docket No.
`9140.0001-00).
`Responseto Office Action dated December5, 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).
`Office Action dated January 25, 2008,
`01).
`
`in U.S. Application No. 11/100,856 (Attorney Docket No. 9140.0015-
`
`Notice of Allowance dated February 1, 2008, in U.S. Application No. 10/954, 182 (Attorney Docket No.
`9140.0016-01).
`Office Action dated November16, 2007, in U.S. Application No. 10/650,461 (Attorney Docket No.
`
`10655.0025-00).
`
`Exami
`
`
`
`5
`iM
`Michelle Estrada
`
`/
`
`Dat
`
`Og}
`03/04/2008
`
`
`
`EXAMINER: Initial if reference considered, whetheror notcitation is in conformance with MPEP 609. Draw line through
`citation if not in conformance and not considered.
`Include copyof this form with next communication to applicant.
`
`
`
`EXPRESSMAILLABELNO.MAILLABEL NO.|
`
`
`|__EM 074697411 US
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1502
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`Ex. 1052, Page 1502
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`

`

`
`
`
` Complete if Known
`
`Application Number
`10/650,461
`August 27, 2003
`
`
`
`
`a)INFORMATION DISCLOSURE
`
`
`141 traTEMENT BY APPLICANT
`
`
`
`Yf__(useesmanysetsanocassay a
`
`
`
`
`oer|1|of[1 [Attomay Docket Number__| 10655.0025-00
`
`
`i | bia.
`
`
`
`
`Issue or
`. Publication Date
`
`Pages, Cotumns, Lines, Where
`
`
`
`
`
`
`NON PATENTLITERATURE DOCUMENTS
`
`
`
`Relevant Passages or Retevant
`
`
`
`
`
`Include name of the author (in CAPITAL LETTERS),title of the article (when appropriate), title of the item
`(book, magazine, journal, serial, symposium, catateg, etc.), date, page(s), volume-issue number(s),
`
`publisher, city and/or country where published.
`Amendment/RCE filed August9, 2007, in U.S. Application No. 09/803,081 (Attomey Docket No. 9140.0014-
`G0).
`Office Action dated September5, 2007, in U.S. Application No. 09/803,081 (Attorney Docket No.
`€140.0014-00).
`Final Office Action dated September 7, 2007, in U.S. Application No. 41/100,856 (Attomey Docket No.
`9140.0015-01).
`Responseto Final Office Action filed October 2, 2007,
`No. 9140.0016-00).
`Final Office Action dated July 24, 2007,
`9140.0016-01).
`
`IDLD/
`
`—OorfOo—
`
`5|55|2O|&
`
`in U.S. Application No. 10/101,863 (Attomey Docket
`
`in U.S. Application No. 10/854,182 (Attomey Docket No
`
`
`
`
`
`
`
`|Sereure_|_/Derek Dupuis! |
`
`Initial if reference considered, whetheror 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.
`
`EM 100825650 US
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ME/
`
`Ex. 1052, Page 1503
`
`Ex. 1052, Page 1503
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`

`

`
`
`“W-O8
`PART B- FEE(S) TRANSMITTAL
`
`Complete and send thpigge
`
`:
`
`
`eYher with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, Virginia 22313-1450
`
`or Fax (571)-273-2885
`
`
`
`
`
`completed where
`through 5 should be
`ansmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks |
`the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`INSTRUCTIONS:This fo Nts
`appropriate. All further corre ad
`
`indicated unless corrected belOwSd
`Merwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`:
`maintenancefee notifications.
`
`CURRENT CORRESPONDENCEADDRESS(Note: Use Block | for any change of address)
`Note: A certificate of mailing
`can only be used
`for
`domestic mailings of
`the
`:
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignmentor formal drawing, must
`ave its own certificate of mailing or tansmisston.
`
`CERTIFICATE OF EXPRESS MAILING
`~ —
`.
`prey certify nathis avianis penedeposites with the an37CER
`Post
`Mail
`‘ostal
`Office to
`see” service under
`Service’s “Express
`1.10, in an envelope addressed to: Mail Stop Issue Fee, Commissioner for Patents
`
`P.O. Box 1450, Alexandria, VA 22313-1450 on March 12, 2008
`
`oupsin0e8
`7590
`22852
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`901 NEW YORK AVENUE, NW
`WASHINGTON,DC 20001-4413
`03/14/2008 RHEBRAHI 00000018 060916
`
`Express Mail O1 FC:2501
`
`10101863
`
`02 FC:1504
`
`720.00 DA
`300.00 DA
`
`Signed:
`.
`
`Annie Wong
`
`Hongmei Zhang
`03/16/2002
`10/101,863
`TITLE OF INVENTION: BIASED PULSE DC REACTIVE SPUTTERING OF OXIDE FILMS
`
`10655.0016-00
`
`6938
`
`SMALL ENTITY PUBLICATION FEE DUE]PREV. PAID ISSUE FEEISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
` APPLN. TYPE
`
`
`
`
`
`
`
`nonprovisional
`
`YES
`
`$720
`
`$300
`
`$0
`
`$1020
`
`04/25/2008
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`
`
`2 Farabow, Garrett &
`
`ESTRADA, MICHELLE
`2823
`438-788000 .
`
`
`
`2. For printing onthe patent frontpage,list
`1. Ghange ofcorrespondence address or indication of "Fee Address” (37
`} Finnegan, Henderson,
`CFR 1.363).
`
`()) the namesof up to 3 registered patent attorneys
`ofcorrespondence address (or Change ofCorrespondence
`LJ Change
`or agents OR,altematively,
`
`Address form PTO/SB/122)attached.
`(2) the nameofa single firm (having as a member a
`
`( "Fee Address"indication (or "Fee Address" Indication form
`registered attomey or agent) and the namesof up to
`
`3 Dunner, L.L.P.
`2 registered patent attorneys or agents. Ifnonameis
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`listed, no namewill be printed.
`Numberis required.
`
`3. ASSIGNEE NAMEANDRESIDENCEDATATO BE PRINTED ON THE PATENT (printor type)
`If an assignee is identified below, the documenthas beenfiled for
`PLEASE NOTE:Unless an assignee is identified below, no assignee data will appear on the patent.
`recordationas set forth in 37 CFR 3.11. Completion ofthis form is NOT a substituteforfiling an assignment.
`(A) NAMEOF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`SpringWorks, LLC
`Minnetonka, Minnesota
`Please check the appropriate assignee category orcategories (will not be printed on the patent): CO) individual Corporationorother private groupentity (2 GovemmenterES
`
`
`
`4b. Paymentof Fee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`CD A cheek is enclosed.
`Issue Fee
`and
`ie Payment bycredit card. Form PTO-2038 is attached.
`Publication Fee (No small entity discount permitted)
`JThe Director is hereby authorized to chargeoYrequire fees) any deficiency, er-eredit any
`(C1 Advance Order - # ofCopies
`
`overpayment, to Deposit Account Number enclose an extra copy ofthis form).
`5. Change in Entity Status (from status indicated above)
`
`Ca. Applicant claims SMALL ENTITY status. See 37 CFR 1.27. b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).NT
`NOTE:The Issue Fee and Publication Fee (if required) will not be accepted from anyone otherthan the applicant; a registered attomey or agent, or the assignee or other party in
`interest as shown by the records ofthe United States
`
`
`
`Pefent and Trademark Office.
`
`Date
`March 12, 2008
`Authorized Signature
`
`
`
`41,008
`
`Typed or printed name Gary J. EdwardscS
`Registration No.
`This collection ofinformationis required by 37 CFR 1.31]. The informationis required to obtain orretain a benefit by the public whichis to file (and by the USPTOto process)
`an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering,prepanng, and
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`the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce,P.O.
`Box 1450, Alex:
`‘a, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no personsare required to respondto a collection of information unlessit displays a valid OMB contro! number.
`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`OMB 0651-0033
`
`U.S.Patent and Trademark Office; US. DEPARTMEN