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`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 1 of 32
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`Page 441 of 472
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`

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`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 2 of 32
`
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`0911612005
`Hongmei Zhang
`11/228,834
`TITLE OF INVENTION: BIASED PULSE DC REACTIVE SPUTTERING OF OXIDE FILMS
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`10655.0016-02
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`EXAMINER
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`ART UNIT
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`CLASS-SUBCLASS
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`MCDONALD, RODNEY GLENN
`
`1795
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`204-298080
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`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 3 of 32
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`Electronic Patent Application Fee Transmittal
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`Filing Date:
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`11228834
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`Title of Invention:
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`BIASED PULSE DC REACTIVE SPUTIERING OF OXIDE FILMS
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`First Named Inventor/Applicant Name:
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`Hongmei Zhang
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`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 4 of 32
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`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 5 of 32
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`Electronic Acknowledgement Receipt
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`22852
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`

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`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 6 of 32
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`File Listing:
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`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 7 of 32
`
`UNITED STA IBS p A IBNT AND TRADEMARK OFFICE
`
`UNITED STA TES 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.
`
`CONFIRMATION NO.
`
`111228,834
`
`09/16/2005
`
`Hongmei Zhang
`
`10655.0016-02
`
`9006
`
`22852
`7590
`04/23/2009
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`901 NEW YORK A VENUE, NW
`WASHINGTON, DC 20001-4413
`
`EXAMINER
`
`MCDONALD, RODNEY GLENN
`
`ART UNIT
`
`PAPER NUMBER
`
`1795
`
`MAILDATE
`
`DELIVERY MODE
`
`04/23/2009
`
`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)
`
`Page 447 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 8 of 32
`
`Supplemental
`Notice of Allowability
`
`Application No.
`
`11/228,834
`Examiner
`
`Applicant(s)
`
`ZHANG ET AL.
`Art Unit
`
`Rodney G. McDonald
`
`1795
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`1. IZI This communication is responsive to September 29. 2008.
`2. IZ! The allowed claim(s) is/are 15-19 and 40-47.
`3. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) D All
`b) D Some*
`c) D None
`of the:
`1. D Certified copies of the priority documents have been received.
`2. D Certified copies of the priority documents have been received in Application No. __ .
`3. D Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received: __ .
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements
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`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
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`5. D CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`(a) D including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0-948) attached
`1) D hereto or 2) D to Paper No./Mail Date __ .
`(b) D including changes required by the attached Examiner's Amendment I Comment or in the Office action of
`Paper No./Mail Date __ .
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`6. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. D Notice of References Cited (PT0-892)
`2. D Notice of Draftperson's Patent Drawing Review (PT0-948)
`3. D Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date __
`4. D Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. D Notice of Informal Patent Application
`6. D Interview Summary (PT0-413),
`Paper No./Mail Date __ .
`7. D Examiner's AmendmenUComment
`
`8. [8J Examiner's Statement of Reasons for Allowance
`9. D Other __ .
`
`U.S. Patent and Trademark Office
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20090421
`
`Page 448 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 9 of 32
`
`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.
`11228834
`
`FILING DATE
`
`9/16/05
`
`FIRST NAMED INVENTOR I
`PATENT IN REEXAMINATION
`ZHANG ET AL.
`
`ATTORNEY DOCKET NO.
`
`10655.0016-02
`
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`901 NEW YORK AVENUE, NW
`WASHINGTON, DC 20001-4413
`
`EXAMINER
`
`Rodney G .. McDonald
`
`ART UNIT
`
`I PAPER
`
`1795
`
`20090421
`
`DATE MAILED:
`
`Please find below and/or attached an Office communication concerning this application or
`proceeding.
`
`The attached IDS document is being supplied to indicate that all the references were considered by the examiner. The application
`remains allowed for reasons of record.
`
`Commissioner for Patents
`
`/Rodney G. McDonald/
`Primary Examiner, Art Unit 1795
`
`PT0-90C (Rev.04-03)
`
`Page 449 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 10 of 32
`
`Application/Control Number: 11/228,834
`Art Unit: 1795
`
`Page 2
`
`REASONS FOR ALLOWANCE
`
`The following is an examiner's statement of reasons for allowance:
`
`Claims 15-19 are allowable over the prior art of record because the prior art of
`
`record does not teach the claimed reactor combined with the narrow band rejection filter
`
`that rejects at a frequency of the RF bias power supply coupled between the pulsed DC
`
`power supply and the target area.
`
`Claims 40-4 7 are allowable over the prior art of record because the prior art of
`
`record does not teach the claimed reactor combined with a narrow band rejection filter
`
`operating at a frequency of the RF bias power supply could between the pulsed DC
`
`power supply and the target.
`
`Any comments considered necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays, should preferably
`
`accompany the issue fee. Such submissions should be clearly labeled "Comments on
`
`Statement of Reasons for Allowance."
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Rodney G. McDonald whose telephone number is 571-
`
`272-1340. The examiner can normally be reached on M-Th with every Friday off.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
`
`supervisor, Nam X. Nguyen can be reached on 571-272-1342. The fax phone number
`
`for the organization where this application or proceeding is assigned is 571-273-8300.
`
`Page 450 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 11 of 32
`
`Application/Control Number: 11/228,834
`Art Unit: 1795
`
`Page 3
`
`Information regarding the status of an application may be obtained from the
`
`Patent Application Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpublished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
`
`Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a
`
`USPTO Customer Service Representative or access to the automated information
`
`system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
`
`/Rodney G. McDonald/
`Primary Examiner, Art Unit 1795
`
`Rodney G. McDonald
`Primary Examiner
`Art Unit 1795
`
`RM
`April 21, 2009
`
`Page 451 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 12 of 32
`
`INFORMATION DISCL
`STATEMENT BY APPL
`(Use as many sheets as necessary)
`of
`
`Sheet
`
`pplication Number
`ilingDate
`
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Complete if Known
`11/228,834
`September 16, 2005
`ZHANG, Hongmei
`Not Yet Assigned
`Not Yet Assigned
`9140.0016-02
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Pages, Columns, Lines, Where
`Document Number
`Issue or
`Name of Patentee or
`Applicant of Cited Document
`Relevant Passages or Relevant
`Publication Date
`Number-Kind Code2
`Figures Appear
`MM-DO-YYYY
`12-26-1995
`01-25-2005
`
`(if known)
`
`5,478,456
`6,846, 765 82
`
`Humpal et al.
`Imamura et al.
`
`Note: Submfs~ of U.S. Patents and published U.S. Patent Applications is not required.
`
`Examin~r Cite
`No. 1
`Initials
`
`/RM/
`/RM/
`
`·--............. --
`
`Examiner
`Initials
`
`Cite
`No. 1
`
`~OREIGN PATENT DOCUMENTS
`-....,,
`~tionDate
`Pages, Columns, Lines,
`Name of Patentee or
`MM·uu~ Applicant of Cited Document Where Relevant Passages
`
`Foreign Patent Document
`
`Translation•
`
`Country Code3 Number' Kind Code5 {if known}
`
`~ or Relevant Figures
`-.............. i-......._
`
`Appear
`
`~
`~
`
`~
`
`Examiner Cite
`No. 1
`Initials
`
`/RM/
`
`/RM/
`
`/RM/
`
`/RM/
`
`NON PATENT LITERATURE DOCUMENTS
`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.
`DOREY, RA., "Low temperature micromoulding of functional ceramic devices," Grant
`summary for GR/S84156/01 for the UK Engineering and Physical Sciences Research
`Council, 2 pages (2004 ).
`HOWSON, RP., "The reactive sputtering of oxides and nitrides," Pure & Appl. Chem.
`66(6):1311-1318 (1994).
`Office Action issued on August 4, 2005, in U.S. Serial No. 10/101 ,863 (Attorney
`Docket No. 09140-0016-00).
`Office Action issued on August 8, 2005 in U.S. Serial No. 10/101,341 (Attorney Docket
`No. 09140-0017-00).
`
`Translation6
`
`EXPRESS MAIL LABEL NO.
`EV 708642472 US
`
`Examiner
`Signature
`
`/Rodne Mcdonald/
`
`Date
`Considered
`
`04/21/2009
`
`EXAMINER: Initial if reference considered, whether or not citation is in confonnance with MPEP 609. Draw line through
`citation if not in confonnance and not considered. Include copy of this fonn with next communication to applicant.
`
`Page 452 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 13 of 32
`
`UNITED STA TES p A TENT 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.
`
`111228,834
`
`ISSUE DATE
`
`0610912009
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`7544276
`
`10655.0016-02
`
`9006
`
`7590
`22852
`0512012009
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`901 NEW YORK A VENUE, NW
`WASHINGTON, DC 20001-4413
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 529 day(s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Customer Service Center of the Office of Patent Publication at
`(571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Hongmei Zhang, San Jose, CA;
`Mukundan Narasimhan, San Jose, CA;
`Ravi B. Mullapudi, San Jose, CA;
`Richard E. Demaray, Portola Valley, CA;
`
`IR103 (Rev. 11105)
`
`Page 453 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 14 of 32
`
`PATENT
`Attorney Docket No. 10655.0016-02000
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Application of:
`
`Hongmei ZHANG et al.
`
`Group Art Unit: 1795
`
`Application No.: 11/228,834
`
`Examiner: Rodney G. MCDONALD
`
`Filed: September 16, 2005
`
`For:
`
`BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`Confirmation No.: 9006
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`REQUEST FOR WITHDRAWAL AS ATTORNEY OR AGENT AND
`CHANGE OF CORRESPONDENCE ADDRESS
`
`I hereby apply to withdraw myself and the practitioners associated with Customer
`
`Number 22,852 as attorney or agent for the above-identified patent application.
`
`The reasons for this request are: The Assignee of Record has requested that this
`
`application be transferred to another law firm for further prosecution, therefore this request is
`
`made under the provision of 37 CFR 10.40(b)(4).
`
`Please change the correspondence address and direct all future correspondence to:
`
`Haynes & Boone, LLP, USPTO Customer Number 27,683.
`
`Dated: July 28" , 2009
`
`Respectfully submitted,
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, L.L.P.
`
`By~
`
`Reg. No. 26,014
`(650) 849-6600
`
`Page 454 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 15 of 32
`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`5782216
`
`11228834
`
`International Application Number:
`
`Confirmation Number:
`
`9006
`
`Title of Invention:
`
`BIASED PULSE DC REACTIVE SPUTIERING OF OXIDE FILMS
`
`First Named Inventor/Applicant Name:
`
`Hongmei Zhang
`
`Customer Number:
`
`22852
`
`Filer:
`
`Aaron James Capron/Drew Herndon
`
`Filer Authorized By:
`
`Aaron James Capron
`
`Attorney Docket Number:
`
`10655.0016-02
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`28-JUL-2009
`
`16-SEP-2005
`
`13:49:10
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`1
`
`Petition to withdraw attorney or agent
`(SB83)
`
`Request_for_Withdrawal_ 1065
`5-0016-02.PDF
`
`Warnings:
`
`Information:
`
`File Size( Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`12275
`
`no
`
`1
`
`8725e234525bb8b540e4990c3566fcdb831
`62450
`
`Page 455 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 16 of 32
`
`Total Files Size (in bytes)
`
`12275
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Page 456 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 17 of 32
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`ViaEFS-Web
`COMMISSIONER FOR PA TENTS
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`POWER OF ATTORNEY TO PROSECUTE APPLIATIONS BEFORE THE USPTO
`
`Dear Sir:
`
`I hereby appoint practitioners associated with Haynes and Boone Customer Number
`27683, as my/our attomey(s) or agent(s) to prosecute the applications identified in Attachment
`
`A, and to transact all business in the United States Patent and Trademark Office connected
`therewith.
`
`Please recognize or change the correspondence address for the applications listed in
`Attachment A to Customer Number 27683.
`
`SpringWorks, LLC, is the Assignee ofrecord of the entire interest in the applications
`identified in Attachment A by virtue of the assignment recorded in the Reel and Frame numbers
`listed, or for which a copy therefore is attached, in Attachment A.
`
`SPRINGWORKS, LLC
`
`By:
`
`.
`
`N~l~A.~
`i2e ( e \\{~
`·
`
`Title:
`
`Page 457 of 472
`
`

`

`Case 6:20-cv-00636-ADA Document 72 Filed 03/10/21 Page 18 of 32
`
`Attachment A
`Power of Attorney to Prosecute Applications Before the USPTO
`
`Applicant/Patent Owner: SpringWorks LLC hereby states that they are the assignee of the entire right, title and interest as listed below by virtue of an assignment
`from the inventor(s) of the patent application/patent. The assignment was recorded in the United States Patent and Trademark Office at the Reel and Frame number
`listed below or for which a copy therefore is attached.
`
`Application Appl.
`Attorney Number I
`Date/
`Patent
`Issued
`Docket
`Number
`Date
`No.
`
`Inventors
`
`Title
`
`Current Owner
`
`Chain of Title
`
`Recorded
`Assigment
`Reel/Frame Date
`
`43668 3
`·
`
`111191 643
`'
`
`H. Zhang
`7/27/2005 M. Narasim~an
`R. Mullapud1
`R. Demaray
`
`Biased Pulse DC
`Reactive Sputtering Of
`Oxide Films
`
`.
`SpringWorks LLC
`
`Ol4766 I 0601
`From Invento'.s
`12/2/2003
`to Symmorph1x
`_________________________ _
`----Froln-syillll.i{;fililix ____ --;~~-;-~--;-~~~~
`11/19/2007
`