Inter Partes Review
`United States Patent No. 9,490,411
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`United States Patent No.: 9,490,411
`Inventors: Hirofumi Ichikawa,
`Masaki Hayashi, Shimpei Sasaoka,
`Tomohide Miki
`Formerly Application No.: 14/928,570
`Issue Date: November 8, 2016
`PCT Filing Date: August 27, 2009
`Filing Date: October 30, 2015
`Former Group Art Unit: 2895
`Former Examiner: Caridad Everhart
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`Attorney Docket No.:
`112868-0001-654
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`Customer No.: 28120
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`Petitioner: VIZIO, Inc.
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`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. 9,490,411
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`1
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`Inter Partes Review
`United States Patent No. 9,490,411
`TABLE OF CONTENTS
`I.
`Introduction.................................................................................................... 1
`II. Mandatory Notices (§ 42.8) ........................................................................... 5
`III. Standing (§ 42.104(a)) .................................................................................... 6
`IV. Grounds (§§ 42.22 and 42.104(b)) ................................................................ 6
`V.
`The ’411 Patent .............................................................................................. 7
`A. Overview of ’411 ................................................................................... 7
`B.
`’411 Prosecution History ..................................................................... 11
`VI. Detailed Reasons for Relief ......................................................................... 12
`A.
`Claim Construction ............................................................................. 12
`B.
`Level of Ordinary Skill ....................................................................... 13
`C.
`Summary of Cited Prior Art ................................................................ 13
`U.S. Patent Publication No. 2008/0012036 (“Loh”) ................ 13
`
`U.S. Patent Publication No. 2005/0211991 (“Mori”) ............... 17
`
`U.S. Patent Publication No. 2008/0073662 (“Wang”) ............. 18
`
`U.S. Patent Publication No. 2005/0280017 (“Oshio”) ............. 20
`
`Claims 1-3, 5-8, 13, 15, and 19-20 are unpatentable under §§ 102 and
`103 over Loh (Grounds 1 and 2) ......................................................... 21
`Invalidity of Claim 1 Over Loh ................................................ 21
`
`Invalidity of Claim 2 Over Loh: “The light emitting device
`
`according to claim 1, wherein a portion of the resin part above
`the upper surface of the metal part is formed integrally with a
`portion of the resin part below the upper surface of the metal
`part” ........................................................................................... 34
`Invalidity of Claim 3 Over Loh: “The light emitting device
`according to claim 1, wherein the each of the at least two metal
`plates is substantially flat” ........................................................ 36
`Invalidity of Claim 5 Over Loh: “The light emitting device
`according to claim 1, wherein all upper edges of the metal part
`are coplanar” ............................................................................. 38
`Invalidity of Claim 6 Over Loh: “The light emitting device
`according to claim 1, wherein a lower surface of the metal part
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`D.
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`Inter Partes Review
`United States Patent No. 9,490,411
`is exposed from the resin part in a region directly under the
`light emitting element” ............................................................. 39
`Invalidity of Claim 7 Over Loh: “The light emitting device
`according to claim 1, wherein the resin part is made using a
`thermosetting resin” .................................................................. 40
`Invalidity of Claim 8 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” ............................ 41
`Invalidity of Claim 13 Over Loh: “The light emitting device
`according to claim 1, wherein the metal part comprises surfaces
`at two or more different levels” ................................................ 42
`Invalidity of Claim 15 Over Loh: “The light emitting device
`according to claim 1, wherein at least a portion of the light
`emitting element is exposed from the resin part” ..................... 43
`Invalidity of Claim 19 Over Loh: “The light emitting device
`according to claim 1, wherein the resin part contains a light
`reflecting material” ................................................................... 44
`Invalidity of Claim 20 Over Loh: “The light emitting device
`according to claim 19, wherein the light reflecting material is
`titanium dioxide” ....................................................................... 44
`Claim 10 is obvious under § 103 over Loh and Mori (Ground 3) ...... 45
`Invalidity of Claim 10 Over Loh and Mori: “The light emitting
`
`device according to claim 1, 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 ...................................... 47
`Claims 16-18 are obvious under § 103 over Loh and Wang (Ground
`4), and, alternatively, Loh, Wang and Oshio (Ground 5) ................... 49
`Invalidity of Claim 16 Over Loh and Wang, and, alternatively,
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`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” ........... 49
`Invalidity of Claim 17 Over Loh and Wang, and, alternatively,
`Loh, Wang and Oshio: “The light emitting device according to
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`E.
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`F.
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`Inter Partes Review
`United States Patent No. 9,490,411
`claim 16, 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” ................................................................................. 52
`Invalidity of Claim 18 Over Loh and Wang, and, alternatively,
`Loh, Wang and Oshio: “The light emitting device according to
`claim 16, 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 at the upper surface of the
`metal part is exposed from the resin part” ................................ 55
` Motivation to Combine Loh and Wang .................................... 59
` Motivation to Combine Loh, Wang and Oshio ........................ 64
`G. No Secondary Considerations of Nonobviousness ............................. 68
`VII. Conclusion .................................................................................................... 70
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`Claim Listing Appendix (Claims 1-3, 5-8, 10, 13, and 15-20)
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`Inter Partes Review
`United States Patent No. 9,490,411
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`LIST OF EXHIBITS
`
`Description
`Exhibit
`Ex. 1001 U.S. Patent No. 9,490,411
`Ex. 1002 U.S. Patent No. 9,490,411 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)
`Ex. 1014 Declaration of Mary Oros in Support of Petition for Inter Partes
`Review of U.S. Patent No. 9,490,411
`
`Ex. 1013
`
`
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`iv
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`Inter Partes Review
`United States Patent No. 9,490,411
`
`Pursuant to §§ 311-319 and § 42,1 VIZIO, Inc. (“Petitioner”) petitions for
`
`IPR of Claims 1-3, 5-8, 10, 13, and 15-20 (“Claims”) of U.S. Patent No. 9,490,411
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`(“’411”), assigned to Nichia Corporation (“Patent Owner”/“PO”) according to
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`USPTO records. Petitioner asserts there is a reasonable likelihood at least one
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`Claim is unpatentable for the reasons herein and requests review of, and judgment
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`against, them as unpatentable under §§ 102 and/or 103.
`
`I.
`
`INTRODUCTION
`’411 claims that a light emitting diode (LED) package comprising a resin part
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`and metal part with notches on four sides is new. It is not. Before ’411’s claimed
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`priority date, it was well-known to manufacture LED packages comprising a resin
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`part and a metal part (known as a lead/leadframe), and to use metal leadframes with
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`notches on four sides. ’411 explains that with the supposed “invention,” a
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`“thermosetting resin is filled in the notch parts, and therefore an adhering area
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`between the lead frame and the thermosetting resin becomes large…to improve
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`adhesion between the lead frame and the thermosetting resin.” Ex. 1001, 3:51-55.
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`But this configuration was already known before ’411. As discussed herein, the
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`1 Section cites are to 35 U.S.C. or 37 C.F.R. as context indicates, and all
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`emphasis/annotations added and internal quotations/citations omitted unless noted.
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`Inter Partes Review
`United States Patent No. 9,490,411
`Claims were well-known and obvious prior to the claimed September 2008 priority
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`date.
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`Indeed, LEDs, and methods of manufacturing LEDs, were well-known before
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`’411’s claimed priority date. E.g., Ex. 1004 ¶ 2; Ex. 1005 ¶¶ 2, 45; Ex. 1006 ¶ 2;
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`Ex. 1007 ¶¶ 2, 83; Ex. 1003 ¶¶ 21-22. It was further well-known to, e.g.,
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`• form a resin package comprising a resin part and a metal part including
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`at least two metal plates (e.g., Ex. 1004, Abstract, ¶¶ 60, 73, 76, 96,
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`Figs. 5-8; Ex. 1005 ¶¶ 5-7, Figs. 1-3, 8-9; Ex. 1007 ¶ 49, Figs. 1-10);
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`• form a resin package having four outer lateral surfaces and a concave
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`portion having a bottom surface (e.g., Ex. 1004 ¶¶ 79, 96, Figs. 5, 7;
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`Ex. 1007 ¶ 61, Figs. 1-4, 5A, 6-10, 16-17; Ex. 1008 ¶ 21, Figs. 2A-C);
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`• mount a light emitting element on a bottom surface of a concave
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`portion of the resin package and electrically connect the light emitting
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`element to the metal part (e.g., Ex. 1004 ¶ 81, Figs. 5, 7; Ex. 1005 ¶¶ 5,
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`7-8, 13, Figs. 8-9; Ex. 1007 ¶¶ 61-63, Fig. 1);
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`• form a resin package such that at least a portion of an outer lateral
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`surface of the resin part and at least a portion of an outer lateral surface
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`of the metal part are coplanar at an outer lateral surface of the resin
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`package (e.g., Ex. 1004 ¶¶ 60, 73, 76, 96, Fig. 7; Ex. 1008 ¶¶ 20-21,
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`24, Fig. 2C; Ex. 1010 ¶¶ 9, 25, Figs. 2a-2f, 3a-3b, 4a-4g);
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`Inter Partes Review
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`• form a resin package such that both a part of the metal part and a part
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`of the resin part are below an upper surface of the metal part, on four
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`outer lateral surfaces of the resin package (e.g., Ex. 1004 ¶¶ 60, 73, 76,
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`96, Fig. 7; Ex. 1008 ¶¶ 20-21, 24, Figs. 2B-C; Ex. 1010 ¶¶ 9, 25, Figs.
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`2a-2f, 3a-3b, 4a-4g);
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`• form a notch in the metal part at each of the four outer lateral surfaces
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`of the resin package (e.g., Ex. 1004 ¶¶ 60, 73, 76, 96, Figs. 6-7; Ex.
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`1008 ¶¶ 20-21, 24, Figs. 2B-C, 3A-B, 4B-F; Ex. 1010 ¶¶ 9, 25, Figs.
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`2a-2f, 3a-3b, 4a-4g);
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`• form a portion of the resin part above the upper surface of the metal
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`part integrally with a portion of the resin part below the upper surface
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`of the metal part (e.g., Ex. 1004 ¶¶ 10, 60, 73, 76, 96, Fig. 7; Ex. 1008
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`¶¶ 20-21, 24, Fig. 2C);
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`• use metal plates that are substantially flat and where all upper edges
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`are coplanar (e.g., Ex. 1004 ¶ 73, Figs. 5-7; Ex. 1006 ¶ 9, Figs. 3-5;
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`Ex. 1008 ¶ 20, Figs. 2A-2B; Figs. 2B, 4B);
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`• use a metal part having a step portion, concave portion, and/or convex
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`portion and surfaces at two or more different levels (e.g., Ex. 1004 ¶¶
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`73, 76, Fig. 5; Ex. 1006 ¶ 9, Figs. 3-5; Ex. 1007 ¶¶ 52, 61, Figs 1-3;
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`Ex. 1008 ¶¶ 30, 32, Figs. 2A, 2D)
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`Inter Partes Review
`United States Patent No. 9,490,411
`• plate the metal part on each of an upper and lower surface (e.g., Ex.
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`1006 ¶¶ 9, 13, 39, 41, 53-54; Figs. 2-5; Ex. 1007 ¶ 69, Figs. 1-4);
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`• cut the metal part after plating, such that a metal layer (of plating) is
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`disposed at all surfaces of the metal part except a portion of an outer
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`lateral surface of the metal part (e.g., Ex. 1006 ¶¶ 9, 13, 39, 41, 53-54,
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`Figs. 2-5; Ex. 1007 ¶¶ 69, 114, Figs. 4, 18B);
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`• use a thermosetting resin (e.g., Ex. 1004 ¶¶ 88, 96; Ex. 1009 ¶¶ 13, 1,
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`12, Abstract, Figs. 1-7);
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`• use a light reflecting material such as titanium dioxide in the resin part
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`(e.g., Ex. 1004 ¶¶103, 80; Ex. 1009 ¶¶ 13, 1, 12, Abstract, Figs. 1-7);
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`• use a sealing member containing two or more kinds of phosphors (e.g.,
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`Ex. 1005 ¶ 5; Ex. 1010 ¶ 29);
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`• expose a lower surface of the metal part from the resin part directly
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`under the light emitting element (e.g., Ex. 1004 ¶ 77, Figs. 5, 8; Ex.
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`1007 ¶ 50, Figs. 1, 3; Ex. 1008 ¶ 21, Fig. 2A);
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`• expose at least a portion of the light emitting element from the resin
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`part (e.g., Ex. 1004 ¶¶ 81, 96, Fig. 5; Ex. 1005 ¶¶ 5-7, Fig. 9; Ex. 1007
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`¶ 61, Fig. 1);
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`• dispose the resin part over a first portion of a metal layer (from plating)
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`at an upper surface of the metal part, and expose a second portion of
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`Inter Partes Review
`United States Patent No. 9,490,411
`the metal layer at the upper surface of the metal part from the resin part
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`(e.g., Ex. 1006 ¶¶ 9, 41, 44, Figs. 2-5; Ex. 1007 ¶¶ 69, 71, Figs. 1, 4;
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`Ex. 1008 ¶¶ 26, 20-21, Figs. 2A, 2D; [Park ’697] ¶¶ 1, 12, Figs. 1a-c).
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`See generally Ex. 1003 ¶¶ 21-34.
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`Each element of the Claims was disclosed in the prior art, and the Claims are,
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`at most, nothing more than a routine, predictable combination of these well-known
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`elements. Petitioner requests the Board institute trial and find the Claims
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`unpatentable under §§ 102 and/or 103.
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`II. MANDATORY NOTICES (§ 42.8)
`Petitioner and Real Parties in Interest: VIZIO, Inc. is the sole petitioner.
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`Under § 42.8(b)(1), the real party-in-interest is VIZIO, Inc. No unnamed entity is
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`funding, controlling, or directing the Petition.
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`Related Matters Under Rule § 42.8(b)(2): PO asserted ’411 claims 1-3, 5-8,
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`10, 13, and 15-20 against Petitioner in Nichia Corp. v. VIZIO, Inc., No. 2:16-cv-
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`1453-JRG (E.D. Tex.) (lead), consolidated with Nos. 2:16-cv-1452-JRG, 2:16-cv-
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`1454-JRG, 2:16-cv-1455-JRG, 2:16-cv-616-JRG, 2:16-cv-875-JRG, 2:16-cv-
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`00246-JRG; and 2:16-cv-00613-JRG, 2:16-cv-00615-JRG, 2:16-cv-00616-JRG,
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`and 2:16-cv-00875-JRG (“copending litigation”). PO also asserted related U.S.
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`Patent 8,530,250 (“’250”) against a different party in Nichia Corp. v. Everlight
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`Elecs. Co., No. 2:13-cv-702-JRG (E.D. Tex.); Appeal Nos. 16-1585, 16-1618 (Fed.
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`Inter Partes Review
`United States Patent No. 9,490,411
`Cir.) (“Everlight litigation”). Related ’250 is also involved in VIZIO, Inc. v. Nichia
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`Corp., IPR2017-01608, IPR2017-01623.
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`Lead and Back-Up Counsel and Service Information Under §§
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`42.8(b)(3)-(4): Lead: Gabrielle E. Higgins (Reg. No. 38,916, ROPES & GRAY
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`LLP, 1900 University Avenue, 6th Floor, East Palo Alto, CA 94303, P:650-617-
`
`4015/F:650-566-4131, gabrielle.higgins@ropesgray.com); Backup: Kathryn N.S.
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`Hong (Reg. No. 63,693, ROPES & GRAY LLP, P:650-617-4006/F:650-566-4124).
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`Mailing address for all PTAB correspondence: ROPES & GRAY LLP, IPRM–
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`Floor 43, Prudential Tower, 800 Boylston Street, Boston, MA 02199-3600.
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`III. STANDING (§ 42.104(a))
`Petitioner certifies ’411 is eligible for, and Petitioner is not barred or
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`estopped from requesting, IPR. Petitioner was served with a Complaint asserting
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`infringement of ’411 on or after December 29, 2016. Neither Petitioner nor any
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`other real party-in-interest or privy was served with a complaint asserting
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`infringement of ’411 before that date, or has initiated a civil action challenging the
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`’411’s validity.
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`IV. GROUNDS (§§ 42.22 AND 42.104(b))
`Petitioner requests IPR of claims 1-3, 5-8, 10, 13, and 15-20. These claims
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`are unpatentable under §§ 102 and/or 103 as follows (see also Ex. 1003 ¶¶ 56-153:
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`Ground
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`Prior Art
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`Ground 1 Loh
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`Ground 2 Loh
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`Ground 3 Loh and Mori
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`Ground 4 Loh and Wang
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`Ground 5 Loh, Wang, and Oshio
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`Inter Partes Review
`United States Patent No. 9,490,411
`Basis
`Claims Challenged
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`102
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`103
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`103
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`103
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`103
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`1-3, 5-8, 13, 15, 19-20
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`1-3, 5-8, 13, 15, 19-20
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`10
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`16-18
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`16-18
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`
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`Loh, Mori, and Wang were not considered by the Examiner during ’411’s
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`prosecution. Ex. 1002, 86. Oshio was cited but not discussed during prosecution.
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`Id. The prior art grounds presented herein are new and not cumulative of the art
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`previously considered during prosecution. E.g., Ex. 1004 ¶¶ 74-82, Figs. 5-7.
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`§ VI below specifies how the prior art renders the Claims unpatentable. In
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`support, the Declaration of technical expert, Dr. Stanley R. Shanfield, is attached
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`(See Ex. 1003 ¶¶ 1-155).
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`V. THE ’411 PATENT
`A claim listing of Challenged Claims 1-3, 5-8, 10, 13, and 15-20 is provided
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`in the Claim Listing Appendix.
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`A. Overview of ’411
`’411 describes the known technique of molding a resin onto a leadframe with
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`notches to produce an LED package. E.g., Ex. 1001, 3:26-30, 3:38-4:10; see
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`generally Ex. 1003 ¶¶ 35-42. In particular, ’411 discloses a “resin package” for an
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`Inter Partes Review
`United States Patent No. 9,490,411
`LED comprising a “resin part” (green in Figure 6, item 125) and a pair of “leads”
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`formed from “a metal plate” (i.e., “metal part,” blue in Figure 6, item 122). Ex.
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`1001, 8:18-19, 9:28-29, 9:54-56, 13:45-62, Figs. 6-7. The “resin part” can be
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`“thermosetting resin” containing a “light reflecting member” such as “titanium
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`dioxide.” Id., 8:62-9:3, 14:29-32. Additionally, the metal part may have “a flat
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`plate shape” or “differences in level or concavity and convexity.” Id., 9:25-27; see
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`also id., 9:28-42. A “light emitting element” (orange in Figure 6) is mounted on the
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`metal part and “electrically connected” with the leads through wires. Id., 6:62-7:1,
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`13:54-56.
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`
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`Id., Fig. 6.
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`’411 discloses the “lead frame” has “notch parts” (red in Figures 6-7). Id.,
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`14:5-7, 5:55-64, 9:54-62. “[T]he notch parts…penetrate the lead frame.” Id., 4:13-
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`15. During molding, resin is filled in the notches. Id., 5:17-21, 14:29-32, 8:18-19.
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`After molding, the resin and leadframe are cut along the notches to form a resin part
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`Inter Partes Review
`United States Patent No. 9,490,411
`and metal part that are coplanar at four outer lateral surfaces. Id., 5:9-17, 13:24-41,
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`6:38-43, 14:29-32, 14:39-40, Fig. 6.
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`Id., Figs. 7, 6.
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`
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`A part of the metal part and a part of the resin part are disposed in a region
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`below an upper surface of the metal part on four outer lateral surfaces of the resin
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`package.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`Id., Fig. 6.
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`’411 further describes the resin package has a concave portion with a bottom
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`surface. Id., 13:54-56, 6:59-63, 7:14-15, 13:10-13, Fig. 6. A sealing member is
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`filled in the concave portion and may contain “one kind alone or two or more
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`kinds” of phosphors to “realize” different colors of light. Id., 10:12-11:36, 13:20-
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`23, Figs. 1-2.
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`’411 also discloses that metal plating “can be applied to the lead frame.” Id.,
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`10:1-11. When cutting occurs after plating and molding, “plating processing is not
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`applied to a cut surface” of the leadframe. Id., 3:63-67.
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`As discussed herein, the alleged invention is no more than a collection of
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`well-known LED packaging features already disclosed in the art before the claimed
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`priority date.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`B.
`’411 Prosecution History
`The application leading to ’411 was filed October 30, 2015 as U.S. Pat. App.
`
`No. 14/928,570 (“the ’570 application”), claiming priority to JP2008-225408, filed
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`September 3, 2008. See generally Ex. 1003 ¶¶ 44-46.
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`Allowed less than ten months after filing, the ’570 application underwent
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`brief prosecution, with only one Office Action. Ex. 1002, 136-45. The Office
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`Action rejected prosecution claims 1-15, 17-18, 20, and 23-25 as anticipated and/or
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`obvious over the prior art, including U.S. Patent Pub. 2008/0044934, U.S. Patent
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`Pub. 2001/0009301, U.S. Patent 6,252,254, and U.S. Patent Pub. 2008/02241612.
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`Id., 137-145. The Examiner found it was known and would have been obvious to
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`use plated leadframes to “protect from oxidation.” Id., 141. The Examiner also
`
`found that cutting the leads after molding “implies the lateral ends of the leads do
`
`not have plating metal.” Id. The Examiner further found using two phosphors was
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`taught by the art and would have been obvious “to obtain the benefit of the desired
`
`color of the emitted light.” Id., 143-44. Applicants amended prosecution claim 1
`
`(issued as Claim 1) to include the limitation “a notch is formed in the metal part at
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`2 The prior art grounds relied on herein are not cumulative of the art cited during
`
`prosecution. In particular, Loh (e.g., Figures 5-7) discussed herein was never cited
`
`by the Examiner and is not cumulative of the art cited during prosecution.
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`Inter Partes Review
`United States Patent No. 9,490,411
`each of the four outer lateral surfaces of the resin package.” Id., 169, 165-71. On
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`August 5, 2016, the claims were allowed. Id., 178-186.
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`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 the Claims are unpatentable under §§ 102
`
`and/or 103.
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`A. Claim Construction
`For purposes of this review, Petitioner construes all claims such that the
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`terms are given their broadest reasonable interpretation (“BRI”) in light of the
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`specification. § 42.100(b). Under this standard, while an inventor may rebut that
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`presumption by providing a definition of the term in the specification with
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`reasonable clarity, deliberateness, and precision, claim terms are presumed to be
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`given their ordinary and customary meaning as would be understood by one of
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`ordinary skill in the art at the time of the invention. E.g., Vibrant Media, Inc. v.
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`Gen. Elec. Co., IPR2013-00170, Pap. 14 at 5.
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`With respect to the term “a notch is formed in the metal part” (claim 1), this
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`term should be given its plain and ordinary meaning consistent with the
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`specification. While the parties have proposed constructions for this term in
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`copending litigation, no construction is necessary here, as the cited prior art
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`discloses this limitation under either parties’ proposed construction. Vivid Techs.
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`Inter Partes Review
`United States Patent No. 9,490,411
`Inc. v. Am. Sci. & Eng’g Inc., 200 F.3d 795, 803 (Fed. Cir. 1999); Ex. 1013, 16-18;
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`Ex. 1012, 16-20; Ex. 1003 ¶¶ 47-49. Alternatively, if construed, this term means
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`“there is an opening that penetrates the metal part.” Ex. 1001, 4:13-15 (“the notch
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`parts and hole parts penetrate the lead frame”), Figs. 3, 5, 7, 8, 10.
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`B.
`Level of Ordinary Skill
`A person of ordinary skill in the art (“POSITA”) on or before September 3,
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`2008, would have a minimum of a Bachelor’s degree in Physics, Electrical
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`Engineering, Material Science, or a related field, and approximately 5 years of
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`professional experience in the field of semiconductor technology, including
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`manufacturing and packaging processes for light emitting devices. Ex. 1003 ¶¶ 17,
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`4-18. Additional graduate education could substitute for professional experience, or
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`significant experience in the field could substitute for formal education. A POSITA
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`is presumed to have knowledge of all relevant prior art, and would thus have been
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`familiar with each of the references cited herein, as well as the background
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`knowledge in the art discussed in § I supra, and the full range of teachings they
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`contain. Id.
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`C.
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`Summary of Cited Prior Art
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`U.S. Patent Publication No. 2008/0012036 (“Loh”)
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`Loh (Ex. 1004), published January 17, 2008, is prior art under at least §§
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`102(b), (a), (e). Loh discloses a light emitting device comprising a resin package
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`Inter Partes Review
`United States Patent No. 9,490,411
`(e.g., Figure 7, item 260) with a resin part (green in Figure 7, item 230), a metal part
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`(blue in Figure 7, items 200, 204, 206), and a light emitting element (orange in
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`Figure 7, item 214). E.g., Ex. 1004 ¶¶ 74-76, 81, 90-91, 94, 96, 103, Figs. 5-7; see
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`generally Ex. 1003 ¶¶ 57-61. In particular, Loh discloses a “lighting package 260”
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`(see Figures 5-7) comprising a “package body 230” made of a “thermoset” such as
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`“epoxy or phenolic resin.” Ex. 1004 ¶¶ 74, 76, 90-91, 94, 96, 103, 74-82, Figs. 5, 7.
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`Package 260 includes a “leadframe 200” “made of a metal” having a “plurality of
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`electrical leads 204, 206.” Id. ¶¶ 74-75. The leadframe may have differences in
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`level. E.g., id. ¶¶ 75-76, Fig. 5. A “light emitting device[] 214” is mounted on the
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`metal part and “electrically connected” with the leads. Id. ¶ 81.
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`Id., Fig. 7.
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`As shown in red in Figures 6-7 below, Loh discloses the leadframe includes
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`notches at each of the four outer lateral surfaces of the resin package. Id. ¶ 75, Fig.
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`United States Patent No. 9,490,411
`6. During “molding,” resin is filled in the notches to form “package body 230”
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`“on/around the leadframe.” Id. ¶¶ 76, 78, 69. “By filling the recesses 226 with the
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`package body 230, the package body 230 may form a strong mechanical connection
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`to the leadframe 200 without the necessity of an adhesive.” Id. ¶ 78, Figs. 5-7.
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`After “molding,” the resin and leadframe are cut along the notches to trim off
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`external frame 201, thus forming a resin part and metal part that are coplanar at four
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`outer lateral surfaces. Id. ¶¶ 75, 76, cl. 5, Figs. 6-7.
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`Id., Figs. 6, 7.
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`Figure 7 shows that a part of the metal part and a part of the resin part are
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`disposed in a region below an upper surface of the metal part on four outer lateral
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`surfaces. Figures 7 and 5 additionally show the resin package has a concave portion
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`with a bottom surface. Id. ¶ 79. A sealing member is filled in the concave portion
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`and contains “a wavelength conversion material, such as a phosphor.” Id.
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`United States Patent No. 9,490,411
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`Id., Fig. 7.
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`Id., Fig. 5.
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`Loh is analogous art to ’411—it is in the same field of endeavor relating to
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`“semiconductor” technology, including manufacturing and packaging processes for
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`an LED and is reasonably pertinent to ’411’s purported problem of providing an
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`LED that “is small, provides good power efficiency, and emits light of bright color”
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`and “improve[d] adhesion between the lead frame and the thermosetting resin.” Ex.
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`Inter Partes Review
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`1001, 1:18-36, 2:32-37, 3:51-55, 5:17-21, 3:26-30, 3:28-4:10; Ex. 1004 ¶¶ 2, 7, 37,
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`66, 99, 85, 78, Abstract; Ex. 1003 ¶ 61.
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`U.S. Patent Publication No. 2005/0211991 (“Mori”)
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`Mori (Ex. 1005), published September 29, 2005, is prior art under at least §§
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`102(b), (a), (e). Mori discloses a light emitting device comprising a resin package
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`(e.g., Figure 9, item 111) with a resin part (green in Figure 9, item 113), a metal part
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`(e.g., “lead terminal made of copper (Cu) or an iron (Fe)-nickel (Ni) alloy”), and a
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`light emitting element (orange in Figure 9, item 114). E.g., Ex. 1005 ¶¶ 5-10, 59-
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`66, 70, 87-91, Figs. 1-3, 8-9; see generally Ex. 1003 ¶¶ 62-64. Mori discloses it is
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`“conventional” to use a sealing member (e.g., “light transmitting member”)
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`containing “two kinds of phosphors” in the concave portion of the resin package to
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`“perform wavelength conversion on the light emitted from the light-emitting
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`element.” E.g., Ex. 1005 ¶¶ 5, 71, Figs. 9, 3. Mori expressly teaches “[t]he
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`phosphors…may be formed of…a mixture of two or more different substances” and
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`“the mixing ratio of the phosphors” can be “adjust[ed],” making it “possible to set a
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`color temperature without restraint.” Id. ¶¶ 10-12; see also, e.g., id. ¶¶ 91, 87, Figs.
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`1-3, 8-9.
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`United States Patent No. 9,490,411
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`
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`Id., Fig. 9.
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`Mori is analogous art to ’411—it is in the same field of endeavor relating to
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`“semiconductor” technology, including manufacturing and packaging processes for
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`an LED and is reasonably pertinent to ’411’s purported problem of providing an
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`LED that “is small, provides good power efficiency, and emits light of bright color”
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`and “realiz[ing]” different colors of light. Ex. 1001, 1:18-36, 2:32-37, 10:13-11:36;
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`Ex. 1005 ¶¶ 2, 37, 70, 4, 87, 84, 38, 10-13, Abstract, Figs. 3, 9; Ex. 1003 ¶ 64.
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`U.S. Patent Publication No. 2008/0073662 (“Wang”)
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`Wang (Ex. 1006), published March 27, 2008, is prior art under at least §§
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`102(b), (a), (e). Wang discloses an LED package (e.g., Figure 4) comprising a
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`metal part (blue in Figure 4, items 1, 11, 12), a molded encapsulant forming a
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`reflector cup (green in Figure 4, item 5), and a light emitting element (orange in
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`Figure 4, item 4). E.g., Ex. 1006 ¶¶ 9, 13, 39, 40, 43, 44, Figs. 3-5; see generally
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`Ex. 1003 ¶¶ 65-69. Wang discloses the leads are made of metal and all surfaces of
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`the leadframe are electroplated with a metal layer, shown in pink below. E.g., Ex.
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`1006 ¶¶ 41, 9, 39, Figs. 2-5. Wang discloses that after electroplating, molding is
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`performed, and the leadframe is cut to separate the light emitting device. E.g., Ex.
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`1006 ¶¶ 9, 39, 49, Figs. 2-5.
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`Ex. 1006, Fig. 4.
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`Wang is analogous art to ’411—it is in the same field of endeavor relating to
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`“semiconductor” technology, including manufacturing and packaging processes for
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`an LED and is reasonably pertinent to ’411’s purported problem of providing an
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`LED that “is small, provides good power efficiency, and emits light of bright
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`United States Patent No. 9,490,411
`color.” Ex. 1001, 1:18-36, 2:32-37, 3:26-30; Ex. 1006 ¶¶ 6-7, 2, 8-9, Figs. 2-5; Ex.
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`1003 ¶ 69.
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`U.S. Patent Publication No. 2005/0280017 (“Oshio”)
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`Oshio (Ex. 1007), published December 22, 2005, is prior art under at least §§
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`102(b), (a), (e). Oshio discloses a light emitting device comprising a resin package
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`(e.g., Figure 4) with a resin part (green in Figure 4, item 40), a metal part (blue in
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`Figure 4, items 20, 20A, 30, 30A), and a light emitting element (orange in Figure 4,
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`item 10). E.g., Ex. 1007, Abstract, ¶¶ 2, 49, 69, 71, 113, Figs. 1-4; Ex. 1003 ¶¶ 70-
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`73.
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`Ex. 1007, Fig. 4.
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`Oshio discloses the leads are made of a metal such as a “copper (Cu) based
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`alloy” and all surfaces of the leadframe are plated with a metal layer made of a
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`different material than the leadframe, such as “silver (Ag), or nickel (Ni)/palladium
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`(Pd)/gold (Au) laminated in this order.” Id. ¶ 69. Oshio discloses cutting the
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`leadframe to separate the light emitting device. Id. ¶ 113, Figs. 11-14, 18A-18B.
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`Oshio discloses “if the lead frame is plated with silver or the like, an unplated
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`surface of base material is exposed at the cut section.” Id. ¶ 114.
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`Oshio is analogous art to ’411—it is in the same field of endeavor relating to
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`“semiconductor” technology, including manufacturing and packaging p