Inter Partes Review
`United States Patent No. 9,537,071
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`United States Patent No.: 9,537,071
`Inventors: Hirofumi Ichikawa,
`Masaki Hayashi, Shimpei Sasaoka,
`Tomohide Miki
`Formerly Application No.: 14/928,550
`Issue Date: January 3, 2017
`PCT Filing Date: August 27, 2009
`Filing Date: October 30, 2015
`Former Group Art Unit: 2895
`Former Examiner: Caridad Everhart
`
`§
`§
`§
`§
`§
`§
`§
`§
`§
`§
`
`Attorney Docket No.:
`112868-0001-656
`
`Customer No.: 28120
`
`Petitioner: VIZIO, Inc.
`
`LIGHT EMITTING DEVICE, RESIN PACKAGE, RESIN-MOLDED
`For:
`BODY, AND METHODS FOR MANUFACTURING LIGHT EMITTING
`DEVICE, RESIN PACKAGE AND RESIN-MOLDED BODY
`
`MAIL STOP PATENT BOARD
`Patent Trial and Appeal Board
`United States Patent and Trademark Office
`Post Office Box 1450
`Alexandria, Virginia 22313-1450
`
`PETITION FOR INTER PARTES REVIEW OF
`UNITED STATES PATENT NO. 9,537,071
`
`NICHIA EXHIBIT 2005
`Vizio, Inc. v. Nichia Corporation
`Case IPR2018-00386
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`TABLE OF CONTENTS
`
`INTRODUCTION ............................................................................................ 1
`I.
`II. MANDATORY NOTICES (§ 42.8) ................................................................ 5
`III. STANDING (§ 42.104(A)) ............................................................................... 6
`IV. GROUNDS (§§ 42.22 AND 42.104(B)) ........................................................... 6
`V. THE ’071 PATENT .......................................................................................... 7
`Overview of ’071 ................................................................................... 7
`A.
`’071 Prosecution History ..................................................................... 11
`B.
`VI. DETAILED REASONS FOR RELIEF ....................................................... 12
`Claim Construction ............................................................................. 12
`A.
`B.
`Level of Ordinary Skill ....................................................................... 13
`C.
`Summary of Cited Prior Art ................................................................ 13
`U.S. Patent Publication No. 2008/0012036 (“Loh”) ................ 13
`1.
`2.
`U.S. Patent Publication No. 2005/0211991 (“Mori”) ............... 17
`3.
`U.S. Patent Publication No. 2008/0073662 (“Wang”) ............. 19
`U.S. Patent Publication No. 2005/0280017 (“Oshio”) ............. 20
`4.
`Claims 1, 4, 8-9, 11-12, 15-18, and 25 are unpatentable under §§ 102
`and 103 over Loh (Grounds 1 and 2) .................................................. 21
`1.
`Invalidity of Claim 1 Over Loh ................................................ 21
`Invalidity of Claim 4 Over Loh: “The light emitting device
`2.
`according to claim 1, wherein at least a portion of the light
`emitting element is exposed from the resin part” ..................... 34
`Invalidity of Claim 8 Over Loh: “The light emitting device
`according to claim 1, wherein the resin part contains a light
`reflecting material” ................................................................... 35
`Invalidity of Claim 9 Over Loh: “The light emitting device
`according to claim 8, wherein the light reflecting material is
`titanium dioxide” ....................................................................... 35
`Invalidity of Claim 11 Over Loh: “The light emitting device
`according to claim 1, wherein the resin part is made using a
`thermosetting resin” .................................................................. 36
`Invalidity of Claim 12 Over Loh: “The light emitting device
`according to claim 1, wherein the metal part has a step portion,
`a concave portion, and/or a convex portion” ............................ 36
`
`D.
`
`3.
`
`4.
`
`5.
`
`6.
`
`i
`
`

`

`E.
`
`F.
`
`7.
`8.
`9.
`
`10.
`
`11.
`
`Inter Partes Review
`United States Patent No. 9,537,071
`Invalidity of Claim 15 Over Loh .............................................. 37
`Invalidity of Claim 16 Over Loh .............................................. 39
`Invalidity of Claim 17 Over Loh: “The light emitting device
`according to claim 16, wherein the resin part is made using a
`thermosetting resin” .................................................................. 42
`Invalidity of Claim 18 Over Loh: “The light emitting device
`according to claim 16, wherein the metal part has a step portion,
`a concave portion, and/or a convex portion” ............................ 43
`Invalidity of Claim 25 Over Loh: “The light emitting device
`according to claim 16, wherein the resin part contains a light
`reflecting material” ................................................................... 43
`Claims 2 and 19 are obvious under § 103 over Loh and Mori (Ground
`3) .......................................................................................................... 43
`Invalidity of Claim 2 Over Loh and Mori: “The light emitting
`1.
`device according to claim 1, wherein the light emitting device
`further comprises a sealing member that contains two or more
`kinds of phosphors .................................................................... 43
`Invalidity of Claim 19 Over Loh and Mori: “The light emitting
`device according to claim 16, wherein the light emitting device
`further comprises a sealing member that contains two or more
`kinds of phosphors” .................................................................. 45
`Motivation to Combine Loh and Mori ...................................... 45
`3.
`Claims 5-7 and 21-23 are obvious under § 103 over Loh and Wang
`(Ground 4), and, alternatively, Loh, Wang, and Oshio (Ground 5) .... 47
`Invalidity of Claim 5 Over Loh and Wang, and, alternatively,
`1.
`Loh, Wang, and Oshio: “The light emitting device according to
`claim 1, wherein the metal part includes a base portion and a
`metal layer disposed on each of an upper surface and a lower
`surface of the base portion, the metal layers being made of a
`material that is different from that of the base portion” ........... 47
`Invalidity of Claim 6 Over Loh and Wang, and, alternatively,
`Loh, Wang, and Oshio: “The light emitting device according to
`claim 5, wherein the metal layer is disposed at all surfaces of
`the metal part except a portion of an outer lateral surface of the
`metal part” ................................................................................. 50
`Invalidity of Claim 7 Over Loh and Wang, and, alternatively,
`Loh, Wang and Oshio: “The light emitting device according to
`claim 5, wherein: the resin part is disposed over a first portion
`of the metal layer at the upper surface of the metal part, and a
`
`2.
`
`2.
`
`3.
`
`ii
`
`

`

`4.
`
`Inter Partes Review
`United States Patent No. 9,537,071
`second portion of the metal layer at the upper surface of the
`metal part is exposed from the resin part” ................................ 53
`Invalidity of Claim 21 Over Loh and Wang, and, alternatively,
`Loh, Wang, and Oshio: “The light emitting device according to
`claim 16, wherein the metal part includes a base portion and a
`metal layer disposed on each of an upper surface and a lower
`surface of the base portion, the metal lavers being made of a
`material that is different from that of the base portion” ........... 56
`Invalidity of Claim 22 Over Loh and Wang, and, alternatively,
`Loh, Wang, and Oshio: “The light emitting device according to
`claim 21, wherein the metal layer is disposed at all surfaces of
`the metal part except an outer lateral surface of the metal part”
` ................................................................................................... 56
`Invalidity of Claim 23 Over Loh and Wang, and, alternatively,
`Loh, Wang, and Oshio: “The light emitting device according to
`claim 21, wherein: the resin part is disposed over a first portion
`of the metal layer at the upper surface of the metal part, and a
`second portion of the metal layer on the upper surface of the
`metal part is exposed from the resin part” ................................ 57
`Motivation to Combine Loh and Wang .................................... 58
`7.
`Motivation to Combine Loh, Wang, and Oshio ....................... 62
`8.
`No Secondary Considerations of Nonobviousness ............................. 67
`G.
`VII. CONCLUSION .............................................................................................. 68
`CLAIM LISTING APPENDIX
`
`5.
`
`6.
`
`iii
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`LIST OF EXHIBITS
`
`Description
`Exhibit
`Ex. 1001 U.S. Patent No. 9,537,071
`Ex. 1002 U.S. Patent No. 9,537,071 File History
`Ex. 1003 Declaration of Dr. Stanley R. Shanfield
`Ex. 1004 U.S. Patent Publication No. 2008/0012036 (“Loh”)
`Ex. 1005 U.S. Patent Publication No. 2005/0211991 (“Mori”)
`Ex. 1006 U.S. Patent Publication No. 2008/0073662 (“Wang”)
`Ex. 1007 U.S. Patent Publication No. 2005/0280017 (“Oshio”)
`Ex. 1008 U.S. Patent Publication No. 2008/0261339 (“Koung”)
`Ex. 1009
`Japanese Patent Publication No. JP2006-093697 (“Park ’697”) with
`Certified English Translation
`Ex. 1010 U.S. Patent Publication No. 2007/0126020 (“Lin”)
`Ex. 1011
`PCT Patent Publication No. WO2007/055486 (“Park ’486”)
`Ex. 1012
`Nichia Corp. v. VIZIO, Inc., No. 2:16-cv-01453-JRG, D.I.152,
`Plaintiff Nichia Corporation’s P.R. 4-5(a) Opening Claim
`Construction Brief (E.D. Tex. Nov. 22, 2017)
`Nichia Corp. v. VIZIO, Inc., No. 2:16-cv-01453-JRG, D.I.186,
`Defendants’ Responsive Claim Construction Brief (E.D. Tex. Dec.
`13, 2017)
`Nichia Corp. v. VIZIO, Inc., No. 2:16-cv-01453-JRG, D.I.211, Joint
`Claim Construction Chart P.R. 4-5(D) (E.D. Tex. Jan. 8, 2018)
`Ex. 1015 Declaration of Mary Oros in Support of Petition for Inter Partes
`Review of U.S. Patent No. 9,537,071
`
`Ex. 1013
`
`Ex. 1014
`
`iv
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`Pursuant to §§ 311-319 and § 42,1 VIZIO, Inc. (“Petitioner”) petitions for
`
`IPR of Claims 1, 2, 4-9, 11-12, 15-19, 21-23, and 25 (“Claims”) of U.S. Patent No.
`
`9,537,071 (“’071”), assigned to Nichia Corporation (“Patent Owner”/“PO”). There
`
`is a reasonable likelihood at least one Claim is unpatentable and Petitioner requests
`
`review of, and judgment against, the Claims as unpatentable under §§ 102 and/or
`
`103.
`
`I.
`
`INTRODUCTION
`’071 claims a light emitting diode (LED) package comprising a resin part
`
`and metal part with notches on four sides is new. E.g., Ex. 1001, 3:51-55. It is
`
`not. Before ’071, it was well-known to manufacture LED packages comprising a
`
`resin part and metal part with notches on four sides, and the Claims were well-
`
`known and obvious prior to the claimed priority date.
`
`Indeed, LEDs, and methods of manufacturing LEDs, were well-known
`
`before ’071. Ex. 1004 ¶ 2; Ex. 1005 ¶¶ 2, 45; Ex. 1006 ¶ 2; Ex. 1007 ¶¶ 2, 83; Ex.
`
`1003 ¶¶ 21-22. It was further well-known to, e.g.,
`
` form a resin package comprising a resin part and metal part including
`
`first and second metal plates (e.g., Ex. 1004, Abstract, ¶¶ 60, 73, 76,
`
`1 Section cites are to 35 U.S.C. or 37 C.F.R. as context indicates, and all
`
`emphasis/annotations added and internal quotations/citations omitted unless noted.
`
`1
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`96, Figs. 5-8; Ex. 1005 ¶¶ 5-7, Figs. 1-3, 8-9; Ex. 1007 ¶ 49, Figs. 1-
`
`10);
`
` form a resin package having four outer lateral surfaces and a concave
`
`portion having a bottom surface (e.g., Ex. 1004 ¶¶ 79, 96, Figs. 5, 7;
`
`Ex. 1007 ¶ 61, Figs. 1-4, 5A, 6-10, 16-17; Ex. 1008 ¶ 21, Figs. 2A-C);
`
` mount a light emitting element on a bottom surface of the concave
`
`portion and electrically connect the light emitting element (e.g., Ex.
`
`1004 ¶ 81, Figs. 5, 7; Ex. 1005 ¶¶ 5, 7-8, 13, Figs. 8-9; Ex. 1007 ¶ 61-
`
`63, Figs. 1-2);
`
` form a resin package where a portion of an outer lateral surface of the
`
`resin part and portion of an outer lateral surface of the metal part are
`
`coplanar at four outer lateral surfaces (e.g., Ex. 1004 ¶¶ 60, 73, 76, 96,
`
`Fig. 7; Ex. 1008 ¶¶ 20-21, 24, Fig. 2C; Ex. 1010 ¶¶ 9, 25, Figs. 2a-2f,
`
`3a-3b, 4a-4g);
`
` form a notch in the metal part at four outer lateral surfaces (e.g., Ex.
`
`1004 ¶¶ 60, 73, 76, 96, Figs. 6-7; Ex. 1008 ¶¶ 20-21, 24, Figs. 2B-C,
`
`3A-B, 4B-F; Ex. 1010 ¶¶ 9, 25, Figs. 2a-2f, 3a-3b, 4a-4g);
`
` form a resin package where the resin part is at left and right sides of a
`
`portion of the metal part at two outer lateral surfaces (e.g., Ex. 1004
`
`2
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`¶¶ 60, 73, 76, 96, Fig. 7; Ex. 1008 ¶¶ 20-21, 24, Figs. 2B-C; Ex. 1010
`
`¶¶ 9, 25, Figs. 2a-2f, 3a-3b, 4a-4g);
`
` use substantially flat metal plates having coplanar upper edges (e.g.,
`
`Ex. 1004 ¶ 73, Figs. 5-7; Ex. 1006 ¶ 9, Figs. 3-5; Ex. 1008 ¶ 20, Figs.
`
`2A-2B, 4B);
`
` use a metal part having a step, concave, and/or convex portion (e.g.,
`
`Ex. 1004 ¶¶ 73, 76, Fig. 5; Ex. 1007 ¶¶ 52, 61, Figs 1-3; Ex. 1006 ¶ 9,
`
`Figs. 3-5; Ex. 1008 ¶¶ 30, 32, Figs. 2A, 2D);
`
` plate the metal part on upper and lower surfaces (e.g., Ex. 1006 ¶¶ 9,
`
`13, 39, 41, 53-54; Figs. 2-5; Ex. 1007 ¶ 69, Figs. 1-4);
`
` cut the metal part after plating, so a metal layer (of plating) is
`
`disposed at all surfaces of the metal part except an outer lateral
`
`surface (and a portion thereof) of the metal part (e.g., Ex. 1006 ¶¶ 9,
`
`13, 39, 41, 53-54, Figs. 2-5; Ex. 1007 ¶¶ 69, 114, Figs. 4, 18B);
`
` use a thermosetting resin (e.g., Ex. 1004 ¶¶ 88, 96-100; Ex. 1009 ¶¶
`
`13, 1, 12, Abstract, Figs. 1-7);
`
` use titanium dioxide (a light reflecting material) in the resin part, (e.g.,
`
`Ex. 1004 ¶¶ 103, 80; Ex. 1009 ¶¶ 13, 1, 12, Abstract, Figs. 1-7);
`
` use a sealing member containing two or more phosphors (e.g., Ex.
`
`1005 ¶ 5; Ex. 1010 ¶ 29);
`
`3
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
` expose a lower surface of the metal part from the resin part directly
`
`under the light emitting element (e.g., Ex. 1004 ¶ 77, Figs. 5, 8; Ex.
`
`1007 ¶ 50, Figs. 1, 3; Ex. 1008 ¶ 21, Fig. 2A);
`
` expose a portion of the light emitting element from the resin part (e.g.,
`
`Ex. 1004 ¶¶ 81, 96, Fig. 5; Ex. 1005 ¶¶ 5-7, Fig. 9; Ex. 1007 ¶ 61, Fig.
`
`1);
`
` dispose the resin part over a first portion of a metal layer (of plating)
`
`at an upper surface of the metal part, and expose a second portion of
`
`the metal layer at (and on) the upper surface of the metal part from the
`
`resin part (e.g., Ex. 1006 ¶¶ 9, 41, 44, Figs. 2-5; Ex. 1007 ¶¶ 69, 71,
`
`Figs. 1, 4; Ex. 1008 ¶¶ 26, 20-21, Figs. 2A, 2D; Ex. 1009 ¶¶ 1, 12,
`
`Figs. 1a-c); and
`
` form a resin package where a portion of an outer surface of the resin
`
`part and portion of an outer surface of the metal part are coplanar at an
`
`outer bottom surface (e.g., Ex. 1004 ¶ 77, Figs. 5, 8; Ex. 1008 ¶ 21,
`
`Fig. 2A; Ex. 1007 ¶ 50, Figs. 1, 3); see also Ex. 1003 ¶¶ 21-37.
`
`Each element of the Claims was disclosed in the prior art, and the Claims are,
`
`at most, nothing more than a routine, predictable combination of these well-known
`
`elements. Petitioner requests the Board institute trial and find the Claims
`
`unpatentable under §§ 102 and/or 103.
`
`4
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`II. MANDATORY NOTICES (§ 42.8)
`Petitioner and Real Parties in Interest: VIZIO, Inc. is the sole petitioner.
`
`Under § 42.8(b)(1), the real party-in-interest is VIZIO, Inc. No unnamed entity is
`
`funding, controlling, or directing the Petition.
`
`Related Matters Under Rule § 42.8(b)(2): PO asserted ’071 claims 1, 2, 4-
`
`9, 11-12, 15-19, 21-23, and 25 of ’071 against Petitioner in Nichia Corp. v. VIZIO,
`
`Inc., No. 2:16-cv-1453-JRG (E.D. Tex.) (lead), consolidated with Nos. 2:16-cv-
`
`1452-JRG, 2:16-cv-1454-JRG, 2:16-cv-1455-JRG, 2:16-cv-616-JRG, 2:16-cv-875-
`
`JRG, 2:16-cv-00246-JRG, 2:16-cv-00613-JRG, 2:16-cv-00615-JRG, 2:16-cv-
`
`00616-JRG, and 2:16-cv-00875-JRG (“copending litigation”). PO also asserted
`
`related U.S. Patent 8,530,250 (“’250”) against a different party in Nichia Corp. v.
`
`Everlight Elecs. Co., No. 2:13-cv-702-JRG (E.D. Tex.); Appeal Nos. 16-1585, 16-
`
`1618 (Fed. Cir.) (“Everlight litigation”). Related ’250 is also involved in VIZIO,
`
`Inc. v. Nichia Corp., IPR2017-01608 (instituted), IPR2017-01623 (instituted).
`
`Related ’250 is also involved in Lowe’s Companies, Inc. v. Nichia Corp., IPR2017-
`
`02011, IPR2017-02014. Related U.S. Patent 9,490,411 is also involved in VIZIO,
`
`Inc. v. Nichia Corp., IPR2018-00386.
`
`Lead and Back-Up Counsel and Service Information Under §§
`
`42.8(b)(3)-(4): Lead: Gabrielle E. Higgins (Reg. No. 38,916, ROPES & GRAY
`
`LLP, 1900 University Avenue, 6th Floor, East Palo Alto, CA 94303, P:650-617-
`
`5
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`4015/F:650-566-4131, gabrielle.higgins@ropesgray.com); Backup: Kathryn N.S.
`
`Hong (Reg. No. 63,693, ROPES & GRAY LLP, P:650-617-4006/F:650-566-
`
`4124). Mailing address for all PTAB correspondence: ROPES & GRAY LLP,
`
`IPRM–Floor 43, Prudential Tower, 800 Boylston Street, Boston, MA 02199-3600.
`
`III. STANDING (§ 42.104(A))
`Petitioner certifies ’071 is eligible for, and Petitioner is not barred or
`
`estopped from requesting, IPR. Petitioner was served with a Complaint asserting
`
`infringement of ’071 on or after February 21, 2017. Neither Petitioner nor any
`
`other real party-in-interest or privy was served with a complaint asserting
`
`infringement of ’071 before that date, or has initiated a civil action challenging the
`
`’071’s validity.
`
`IV. GROUNDS (§§ 42.22 AND 42.104(B))
`Petitioner requests IPR of claims 1, 2, 4-9, 11-12, 15-19, 21-23, and 25 as
`
`unpatentable under §§ 102 and/ 103 (see also Ex. 1003 ¶¶ 62, 176-177, 62-180):
`
`Ground
`
`Prior Art
`
`Basis Claims Challenged
`
`Ground 1 Loh
`
`Ground 2 Loh
`
`Ground 3 Loh and Mori
`
`Ground 4 Loh and Wang
`
`Ground 5 Loh, Wang, and Oshio
`
`1, 4, 8-9, 11-12, 15-18, 25
`
`1, 4, 8-9, 11-12, 15-18, 25
`
`2, 19
`
`5-7, 21-23
`
`5-7, 21-23
`
`102
`
`103
`
`103
`
`103
`
`103
`
`6
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`
`
`Loh, Mori, and Wang were not considered by the Examiner during ’071’s
`
`prosecution; Oshio was cited but not discussed. Ex. 1002. The prior art grounds
`
`presented herein are new and not cumulative of the art previously considered
`
`during prosecution. E.g., Ex. 1004 ¶¶ 74-82, Figs. 5-7.
`
`§ VI specifies how the prior art renders the Claims unpatentable. The
`
`Declaration of technical expert, Dr. Stanley R. Shanfield, is attached in support
`
`(Ex. 1003 ¶¶ 1-182).
`
`V. THE ’071 PATENT
`The Claim Listing Appendix provides a listing of Challenged Claims 1, 2, 4-
`
`9, 11-12, 15-19, 21-23, and 25.
`
`A. Overview of ’071
`’071 describes the known technique of molding a resin onto a leadframe
`
`with notches to produce an LED package. Ex. 1001, 3:26-30, 3:38-4:10; see
`
`generally Ex. 1003 ¶¶ 38-46. ’071 discloses a “resin package” for an LED
`
`comprising a “resin part” (green in Figure 12, item 425) and a pair of “leads”
`
`formed from “a metal plate” (i.e., “metal part,” blue in Figure 12, item 422). Ex.
`
`1001, 8:15-16, 9:25-26, 9:51-53, 16:53-17:9, Figs. 12, 1, 3; see also id., 13:43-60,
`
`Figs. 6-7. The “resin part” can be “thermosetting resin” containing a “light
`
`reflecting member” such as “titanium dioxide.” Id., 8:59-67, 14:27-30. “The lead
`
`frame is formed by…punching or etching a metal plate of a flat plate shape.” Id.,
`
`7
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`9:25-26. Figure 12 shows metal plates that are substantially flat where all upper
`
`edges are coplanar. Id., 9:25-26, Figs. 12, 2. The metal part may have
`
`“differences in level or concavity and convexity.” Id., 9:22-24. A “light emitting
`
`element” (orange in Figure 12) is mounted on the metal part and “electrically
`
`connected” with the leads through wires. Id., 6:57-64, Fig. 12; see also id., 13:52-
`
`54, Fig. 6.
`
`Id., Fig. 12.
`
`
`
`’071 discloses the “lead frame” has “notch parts” (red in Figures 3, 12) that
`
`“penetrate the lead frame.” Id., 5:55-64, 4:13-15, 17:6-9, 9:51-58, Figs. 1, 12; see
`
`also id., 14:3-5, Figs. 6-7. During molding, resin fills the notches. Id., 5:17-21,
`
`8:14-15, 14:27-30. After molding, the resin and leadframe are cut along the
`
`notches to form a resin part and metal part that are coplanar at four outer lateral
`
`surfaces. Id., 5:9-17, 6:34-39, 13:24-41, 14:27-30, 14:37-38, Figs. 3, 12, 6-7.
`
`8
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`
`
`Id., Figs. 3, 12.
`Figure 12 shows the resin part is located at left and right sides of a portion of
`
`the metal part at two outer lateral surfaces. The resin package has a concave
`
`portion with a bottom surface. Id., 6:55-58, 7:10-12, Fig. 12; see also id., 13:10-
`
`13, 13:52-54; Fig. 6.
`
`Id., Fig. 12.
`As shown in Figure 2, a portion of an outer surface of the resin part and a
`
`portion of an outer surface of the metal part are coplanar at an outer bottom
`
`
`
`9
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`surface. Id., Fig. 2. A lower surface of the metal part is exposed from the resin
`
`part in a region directly under the light emitting element. Id. A sealing member is
`
`filled in the concave portion, containing “two or more kinds” of phosphors to
`
`“realize” different colors of light. Id., 10:9-11:34, 13:20-23, Figs. 1-2.
`
`
`
`Id., Fig. 2.
`Metal plating “can be applied to the lead frame.” Id., 9:65-10:9. When
`
`cutting occurs after plating and molding, “plating processing is not applied to a cut
`
`surface” of the leadframe. Id., 3:63-67.
`
`As discussed herein, the alleged invention is no more than a collection of
`
`well-known LED packaging features already disclosed in the art before the claimed
`
`priority date.
`
`10
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`B.
`’071 Prosecution History
`The application leading to ’071 was filed October 30, 2015 as U.S. Pat. App.
`
`No. 14/928,550 (“’550 application”), claiming priority to JP2008-225408, filed
`
`September 3, 2008. Ex. 1003 ¶¶ 47-52.
`
`The ’550 application underwent brief prosecution, with only one Office
`
`Action. Ex. 1002, 137-46. The Office Action rejected prosecution claims 1-10,
`
`12-13, 15-26 and 28-29 as anticipated and/or obvious over the prior art, including
`
`U.S. Patent Pub. 2008/0224161, U.S. Patent Pub. 2007/0138697, U.S. Patent Pub.
`
`2008/0044934, U.S. Patent Pub. 2001/0009301, and U.S. Patent 6,252,254. Ex.
`
`1002, 137-48. The Examiner found it was known and obvious to use plated
`
`leadframes to protect the metal plate “from oxidation” and that cutting the leads
`
`after plating “results in the lateral surfaces of the lead frame exposed.” Id., 142-
`
`143. The Examiner found using two phosphors was known and obvious “to obtain
`
`the benefit of the desired emission.” Id., 145-46. In response, Applicants amended
`
`prosecution claims 1, 17-18 (issued as Claims 1, 15-16) to include the limitation
`
`“wherein a notch is formed in the metal part at each of the four outer lateral
`
`surfaces of the resin package.” Id., 162, 162-70. The claims were allowed. Id.,
`
`176-184.
`
`11
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`VI. DETAILED REASONS FOR RELIEF
`There is at least a reasonable likelihood Petitioner will prevail with respect
`
`to at least one of the Claims (§ 314(a)), as they are unpatentable under §§ 102
`
`and/or 103.
`
`A. Claim Construction
`For purposes of this review, Petitioner construes the claims under the
`
`broadest reasonable interpretation (“BRI”) in light of the specification. 2 §
`
`42.100(b). Under this standard, while an inventor may rebut that presumption by
`
`defining the term in the specification with reasonable clarity, deliberateness, and
`
`precision, claim terms are given their ordinary and customary meaning as
`
`understood by one of ordinary skill at the time of the invention. Vibrant Media,
`
`Inc. v. Gen. Elec. Co., IPR2013-00170, Pap. 14 at 5.
`
`With respect to the term “a notch is formed in the metal part” (claims 1, 15,
`
`16), this term should be given its plain and ordinary meaning consistent with the
`
`specification. While the parties have proposed constructions for this term in
`
`copending litigation, no construction is necessary here, as the cited prior art
`
`discloses this limitation under either parties’ proposed construction. Vivid Techs.
`
`2 Because the standard for claim construction for unexpired patents at the PTO is
`
`different than used in litigation, Petitioner reserves the right to argue in litigation
`
`different claim constructions and to assert invalidity under §§ 101 and/or 112.
`
`12
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`Inc. v. Am. Sci. & Eng’g Inc., 200 F.3d 795, 803 (Fed. Cir. 1999); Ex. 1014 (Ex. A,
`
`3); Ex. 1013, 16-18; Ex. 1012, 16-20; Ex. 1003 ¶¶ 55, 53-54. Alternatively, if
`
`construed, this term means “there is an opening that penetrates the metal part.” Ex.
`
`1001, 4:13-15 (“notch parts … penetrate the lead frame”), Figs. 3, 5, 7, 8, 10.
`
`B.
`Level of Ordinary Skill
`A person of ordinary skill in the art (“POSITA”) on or before September 3,
`
`2008, would have a minimum of a Bachelor’s degree in Physics, Electrical
`
`Engineering, Material Science, or a related field, and approximately 5 years of
`
`professional experience in the field of semiconductor technology, including
`
`manufacturing and packaging processes for light emitting devices. Ex. 1003 ¶¶ 16-
`
`18, 4-15. Additional graduate education could substitute for professional
`
`experience, or significant experience in the field could substitute for formal
`
`education. A POSITA is presumed to have knowledge of all relevant prior art, and
`
`would thus have been familiar with each of the references cited herein, as well as
`
`the background knowledge in the art discussed in § I supra, and the full range of
`
`teachings they contain. Id.
`
`C.
`
`Summary of Cited Prior Art
`1.
`U.S. Patent Publication No. 2008/0012036 (“Loh”)
`Loh (Ex. 1004), published January 17, 2008, is prior art under at least §§
`
`102(b), (a), (e). Loh discloses a light emitting device comprising a resin package
`
`13
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`(e.g., Figure 7, item 260) with a resin part (green in Figure 7, item 230), a metal
`
`part (blue in Figure 7, items 200, 204, 206), and a light emitting element (orange in
`
`Figure 7, item 214). E.g., Ex. 1004 ¶¶ 74-76, 81, 90-91, 94, 96, 103, Figs. 5-7; see
`
`generally Ex. 1003 ¶¶ 63-68. Loh discloses “lighting package 260” (see Figures 5-
`
`7) comprises “package body 230” made of a “thermoset” such as “epoxy or
`
`phenolic resin.” Ex. 1004 ¶¶ 74, 76, 90-91, 94, 96, 103, 74-82, Figs. 5, 7. Package
`
`260 includes “leadframe 200” “made of a metal” having a “plurality of electrical
`
`leads 204, 206.” Id. ¶¶ 74-75. Figures 5-7 show the leadframe (metal part) is
`
`substantially flat and all upper edges of the metal part are coplanar. Id. ¶¶ 75, 66,
`
`74, Figs. 5-7. The leadframe may have differences in level. Id. ¶¶ 75-76, Fig. 5.
`
`“[L]ight emitting device[] 214” is mounted on the metal part and “electrically
`
`connected” with the leads. Id. ¶ 81.
`
`
`
`
`
`Id., Fig. 7.
`
`14
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`As shown in red in Figures 6-7, Loh discloses the leadframe includes
`
`notches at four outer lateral surfaces. Id. ¶ 75, Fig. 6. During “molding,” resin is
`
`filled in the notches to form “package body 230” “on/around the leadframe.” Id.
`
`¶¶ 76, 78, 69. “By filling the recesses 226 with the package body 230, the package
`
`body 230 may form a strong mechanical connection to the leadframe 200 without
`
`the necessity of an adhesive.” Id. ¶ 78, Figs. 5-7. After “molding,” the resin and
`
`leadframe are cut along the notches to trim off external frame 201, thus forming a
`
`resin part and metal part that are coplanar at four outer lateral surfaces. Id. ¶¶ 75,
`
`76, cl. 5, Figs. 6-7.
`
`Id., Figs. 6, 7.
`
`
`
`Figure 7 shows a portion of an outer lateral surface of the resin part (in
`
`green) and portion of an outer lateral surface of the metal part (in blue) are
`
`coplanar at four outer lateral surfaces (outlined in red). Figure 7 also shows the
`
`15
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`resin part is located at left and right sides of a portion of the metal part at at least
`
`two outer lateral surfaces. Figures 7 and 5 show the resin package has a concave
`
`portion with a bottom surface. Id. ¶ 79.
`
`
`Id., Fig. 7.
`Figure 5 shows a portion of an outer surface of the resin part and a portion of
`
`
`
`an outer surface of the metal part are coplanar at an outer bottom surface, and a
`
`lower surface of the metal part is exposed from the resin part in a region directly
`
`under the light emitting element. Id., Fig. 5. A sealing member is filled in the
`
`concave portion of the resin package and may contain “a phosphor.” Id. ¶ 79.
`
`16
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`
`Id., Fig. 5.
`Loh is analogous art to ’071—it is in the same field of endeavor relating to
`
`
`
`“semiconductor” technology, including manufacturing and packaging processes for
`
`an LED and is reasonably pertinent to ’071’s purported problem of providing an
`
`LED that “is small, provides good power efficiency, and emits light of bright
`
`color” and “improve[d] adhesion.” Ex. 1001, 1:18-36, 2:32-37, 5:17-21, 3:26-
`
`4:10; Ex. 1004 ¶¶ 2, 7, 37, 66, 99, 85, 78, Abstract; Ex. 1003 ¶ 68.
`
`2.
`U.S. Patent Publication No. 2005/0211991 (“Mori”)
`Mori (Ex. 1005), published September 29, 2005, is prior art under at least §§
`
`102(b), (a), (e). Mori discloses a light emitting device comprising a resin package
`
`(e.g., Figure 9, item 111) with a resin part (green in Figure 9, item 113), metal part
`
`(e.g., “lead terminal made of copper (Cu)”), and a light emitting element (orange in
`
`Figure 9, item 114). E.g., Ex. 1005 ¶¶ 5-10, 59-66, 70, 87-91, Figs. 1-3, 8-9; see
`
`17
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`generally Ex. 1003 ¶¶ 69-71. Mori discloses it is “conventional” to use a sealing
`
`member (e.g., “light transmitting member”) containing “two kinds of phosphors”
`
`in the concave portion of the resin package to “perform wavelength conversion on
`
`the light emitted from the light-emitting element.” Ex. 1005 ¶¶ 5, 71, Figs. 9, 3.
`
`“The phosphors…may be formed of…a mixture of two or more different
`
`substances” and “the mixing ratio of the phosphors” can be “adjust[ed],” making it
`
`“possible to set a color temperature without restraint.” Id. ¶¶ 10-12; see also, e.g.,
`
`id. ¶¶ 91, 87, Figs. 1-3, 8-9.
`
`Id., Fig. 9.
`Mori is analogous art to ’071—it is in the same field of endeavor relating to
`
`
`
`“semiconductor” technology, including manufacturing and packaging processes for
`
`an LED and is reasonably pertinent to ’071’s purported problem of providing an
`
`LED that “is small, provides good power efficiency, and emits light of bright
`
`color” and “realiz[ing]” different colors of light. Ex. 1001, 1:18-36, 2:32-37, 10:9-
`
`18
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`11:34; Ex. 1005 ¶¶ 2, 37, 70, 4, 87, 84, 38, 10-13, Abstract, Figs. 3, 9; Ex. 1003 ¶
`
`71.
`
`3.
`U.S. Patent Publication No. 2008/0073662 (“Wang”)
`Wang (Ex. 1006), published March 27, 2008, is prior art under at least §§
`
`102(b), (a), (e). Wang discloses an LED package (e.g., Figure 4) comprising a
`
`metal part (blue in Figure 4, items 1, 11, 12), a molded encapsulant forming a
`
`reflector cup (green in Figure 4, item 5), and light emitting element (orange in
`
`Figure 4, item 4). E.g., Ex. 1006 ¶¶ 9, 13, 39, 40, 43, 44, Figs. 3-5; see generally
`
`Ex. 1003 ¶¶ 72-76. Wang discloses the leads are made of metal and all surfaces of
`
`the leadframe are electroplated with a metal layer, shown in pink. Ex. 1006 ¶¶ 41,
`
`9, 39, Figs. 2-5. After electroplating, molding is performed, and the leadframe is
`
`cut to separate the light emitting device. Ex. 1006 ¶¶ 9, 39, 49, Figs. 2-5.
`
`Ex. 1006, Fig. 4.
`
`
`
`19
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`Wang is analogous art to ’071—it is in the same field of endeavor relating to
`
`“semiconductor” technology, including manufacturing and packaging processes for
`
`an LED and is reasonably pertinent to ’071’s purported problem of providing an
`
`LED that “is small, provides good power efficiency, and emits light of bright
`
`color.” Ex. 1001, 1:18-36, 2:32-37, 3:26-30; Ex. 1006 ¶¶ 6-7, 2, 8-9, Figs. 2-5; Ex.
`
`1003 ¶ 76.
`
`4.
`U.S. Patent Publication No. 2005/0280017 (“Oshio”)
`Oshio (Ex. 1007), published December 22, 2005, is p