Inter Partes Review
`United States Patent No. 9,490,411
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`LOWE’S COMPANIES, INC.,
`LOWE’S HOME CENTERS, LLC AND L G SOURCING, INC.,
`Petitioners
`
`v.
`
`NICHIA CORPORATION,
`Patent Owner
`
`U.S. Patent No. 9,490,411
`
`PETITION FOR INTER PARTES REVIEW OF
`UNITED STATES PATENT NO. 9,490,411
`
`

`

`Inter Partes Review
`United States Patent No. 9,490,411
`
`TABLE OF CONTENTS
`
`INTRODUCTION .......................................................................................... 1
`I.
`II. MANDATORY NOTICES (§ 42.8) ............................................................... 4
`III. LEAD AND BACK-UP COUNSEL (37 C.F.R. § 42.8(B)(3)) AND
`SERVICE INFORMATION (37 C.F.R. § 42.8(b)(3)-(4)) ............................. 6
`IV. STANDING (§ 42.104(a)) .............................................................................. 6
`V. GROUNDS (§§ 42.22 AND 42.104(b)) ......................................................... 6
`VI. THE ’411 PATENT ........................................................................................ 7
`A. Overview of ’411 .................................................................................. 7
`B.
`’411 Prosecution History .................................................................... 10
`VII. DETAILED REASONS FOR RELIEF ........................................................ 11
`A.
`Claim Construction............................................................................. 11
`B.
`Level of Ordinary Skill ...................................................................... 12
`C.
`Summary of Cited Prior Art ............................................................... 13
`1.
`U.S. Patent Publication No. 2008/0012036 (“Loh”) ............... 13
`2.
`U.S. Patent Publication No. 2005/0211991 (“Mori”) .............. 16
`3.
`U.S. Patent Publication No. 2008/0073662 (“Wang”) ............ 18
`4.
`U.S. Patent Publication No. 2005/0280017 (“Oshio”) ............ 19
`Claims 1-3, 5-8, 13, 15, and 19-20 are unpatentable under §§
`102 and 103 over Loh (Grounds 1 and 2) .......................................... 21
`1.
`Invalidity of Claim 1 Over Loh ............................................... 21
`2.
`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” ......................................... 33
`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” .............................. 35
`
`D.
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`3.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`Invalidity of Claim 5 Over Loh: “The light emitting
`device according to claim 1, wherein all upper edges of
`the metal part are coplanar” ..................................................... 37
`Invalidity of Claim 6 Over Loh: “The light emitting
`device according to claim 1, wherein a lower surface of
`the metal part is exposed from the resin part in a region
`directly under the light emitting element” ............................... 38
`Invalidity of Claim 7 Over Loh: “The light emitting
`device according to claim 1, wherein the resin part is
`made using a thermosetting resin” ........................................... 39
`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” ...... 39
`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” ................ 41
`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” ...... 42
`Invalidity of Claim 19 Over Loh: “The light emitting
`device according to claim 1, wherein the resin part
`contains a light reflecting material” ......................................... 43
`Invalidity of Claim 20 Over Loh: “The light emitting
`device according to claim 19, wherein the light reflecting
`material is titanium dioxide” .................................................... 43
`Claim 10 is obvious under § 103 over Loh and Mori (Ground 3) ..... 44
`1.
`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” .............................. 44
`2. Motivation to Combine Loh and Mori ..................................... 46
`Claims 16-18 are obvious under § 103 over Loh and Wang
`(Ground 4), and, alternatively, Loh, Wang and Oshio (Ground
`5) ......................................................................................................... 47
`
`10.
`
`11.
`
`E.
`
`F.
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`ii
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`1.
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`Inter Partes Review
`United States Patent No. 9,490,411
`
`2.
`
`Invalidity of Claim 16 Over Loh and Wang, and,
`alternatively, 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 17 Over Loh and Wang, and,
`alternatively, Loh, Wang and Oshio: “The light emitting
`device according to 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” ........................... 50
`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” .................................................... 53
`4. Motivation to Combine Loh and Wang ................................... 57
`5. Motivation to Combine Loh, Wang and Oshio ....................... 62
`G. No Secondary Considerations of Nonobviousness ............................ 66
`VIII. CONCLUSION ............................................................................................. 68
`
`3.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`TABLE OF AUTHORITIES
`
`Federal Cases
`Agrizap, Inc. v. Woodstream Corp.,
`520 F.3d 1337 (Fed. Cir. 2008) .......................................................................... 66
`
` Page(s)
`
`Amneal Pharms., LLC v. Supernus Pharms., Inc.,
`IPR2013-00368, Paper 8 (PTAB Dec. 17, 2013) ............................................... 67
`
`Blue Coat Sys, Inc. v. Finjan, Inc.,
`IPR2016-00480, Paper 9 (PTAB Jun. 24, 2016) .................................................. 1
`
`ClassCo, Inc. v. Apple, Inc.,
`838 F.3d 1214 (Fed. Cir. 2016) .......................................................................... 67
`
`Dell, Inc. v. Network-1 Sec. Sols., Inc.,
`IPR2013-00385, Paper 17 (PTAB July 29, 2013) ................................................ 1
`
`Koios Pharms. LLC v. Medac Gesellschaft Für Klinische
`Spezialpräparate, MBH,
`IPR2016-01370, Paper 13 (PTAB Feb. 8, 2017) ................................................ 67
`
`KSR Int’l Co. v. Teleflex Inc.,
`550 U.S. 398 (2007) ...................................................................................... 61, 66
`
`Merck & Cie v. Gnosis S.P.A.,
`808 F.3d 829 (Fed. Cir. 2015) ............................................................................ 68
`
`Newell Cos. v. Kenney Mfg. Co.,
`864 F.2d 757 (Fed. Cir. 1988) ............................................................................ 68
`
`Petroleum Geo-Services Inc. v. WesternGeo LLC,
`IPR2014-01477, Paper 18 (PTAB Mar. 17, 2015) ............................................. 67
`
`ServiceNow, Inc. v. BMC Software, Inc.,
`IPR2015-01176, Paper 10 (PTAB Nov. 16, 2015) ............................................. 67
`
`Vibrant Media, Inc. v. Gen. Elec. Co.,
`IPR2013-00170, Paper 14 (PTAB Jul. 29, 2013) ............................................... 12
`
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`Inter Partes Review
`United States Patent No. 9,490,411
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`Vivid Techs. Inc. v. Am. Sci. & Eng’g Inc.,
`200 F.3d 795 (Fed. Cir. 1999) ............................................................................ 12
`
`Federal Statutes
`
`35 U.S.C §§ 311-319.................................................................................................. 1
`
`Regulations
`
`37 C.F.R § 42. ............................................................................................................ 1
`
`37 C.F.R. § 42.8(b)(1) ................................................................................................ 4
`
`37 C.F.R. § 42.8(b)(2) ................................................................................................ 5
`
`37 C.F.R. § 42.8(b)(3)-(4) .......................................................................................... 6
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`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”)
`Nichia Corp. v. VIZIO, Inc., No. 2:16-cv-01453-JRG,
`Ex. 1012
`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. 1013
`
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`Inter Partes Review
`United States Patent No. 9,490,411
`Pursuant to §§ 311-319 and § 42,1 Lowe’s Companies, Inc., Lowe’s Home
`
`Centers, LLC and L G Sourcing, Inc. (collectively, “Petitioners”) respectfully
`
`submit this Petition for IPR (“Petition”) seeking cancellation of Claims 1-3, 5-8,
`
`10, 13, and 15-20 (“Claims”) of U.S. Patent No. 9,490,411 (“’411”), assigned to
`
`Nichia Corporation (“Patent Owner”/“PO”), over the same art and substantially
`
`identical arguments presented by VIZIO, Inc. in Petition for IPR submitted in
`
`IPR2018-00386. Blue Coat Sys, Inc. v. Finjan, Inc., IPR2016-00480, Paper 9 at 2-
`
`6 (PTAB Jun. 24, 2016); Dell, Inc. v. Network-1 Sec. Sols., Inc., IPR2013-00385,
`
`Paper 17 at 6 (PTAB July 29, 2013) (granting petition and joinder request where
`
`petition used identical arguments and same expert and arguments as another
`
`entity). Petitioners assert there is a reasonable likelihood at least one Claim is
`
`unpatentable for the reasons herein and requests review of, and judgment against,
`
`them as unpatentable under §§ 102 and/or 103.
`
`I.
`
`INTRODUCTION
`
`The ’411 claims that a light emitting diode (LED) package comprising a
`
`resin part and metal part with notches on four sides is new. It is not. Before the
`
`’411’s claimed priority date, it was well-known to manufacture LED packages
`
`comprising a resin part and a metal part (known as a lead/leadframe), and to use
`
`metal leadframes with notches on four sides. The ’411 explains that with the
`
`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.
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`supposed “invention,” a “thermosetting resin is filled in the notch parts, and
`
`therefore an adhering area between the lead frame and the thermosetting resin
`
`becomes large...to improve adhesion between the lead frame and the thermosetting
`
`resin.” Ex. 1001, 3:51-55. But this configuration was already known before the
`
`’411. As discussed herein, the Claims were well-known and obvious prior to the
`
`claimed September 2008 priority date.
`
`Indeed, LEDs, and methods of manufacturing LEDs, were well-known
`
`before the ’411’s claimed priority date. E.g., 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.,
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`•
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`•
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`form a resin package comprising a resin part and a metal part
`including at least two metal plates (e.g., Ex. 1004, Abstract, ¶¶ 60, 73,
`76, 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 a concave
`portion of the resin package and electrically connect the light emitting
`element to the metal part (e.g., Ex. 1004 ¶ 81, Figs. 5, 7; Ex. 1005 ¶¶
`5, 7-8, 13, Figs. 8-9; Ex. 1007 ¶¶ 61-63, Fig. 1);
`
`•
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`•
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`form a resin package such that at least a portion of an outer lateral
`surface of the resin part and at least a portion of an outer lateral
`surface of the metal part are coplanar at an outer lateral surface of the
`resin package (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 resin package such that both a part of the metal part and a part
`of the resin part are below an upper surface of the metal part, on four
`outer lateral surfaces of the resin package (e.g., Ex. 1004 ¶¶ 60, 73,
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`76, 96, Fig. 7; Ex. 1008 ¶¶ 20-21, 24, Figs. 2B-C; Ex. 1010 ¶¶ 9, 25,
`Figs. 2a-2f, 3a-3b, 4a-4g);
`
`form a notch in the metal part at each of the four outer lateral surfaces
`of the resin package (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 portion of the resin part above the upper surface of the metal
`part integrally with a portion of the resin part below the upper surface
`of the metal part (e.g., Ex. 1004 ¶¶ 10, 60, 73, 76, 96, Fig. 7; Ex. 1008
`¶¶ 20-21, 24, Fig. 2C);
`
`use metal plates that are substantially flat and where all upper edges
`are coplanar (e.g., Ex. 1004 ¶ 73, Figs. 5-7; Ex. 1006 ¶ 9, Figs. 3-5;
`Ex. 1008 ¶ 20, Figs. 2A-2B; Figs. 2B, 4B);
`
`use a metal part having a step portion, concave portion, and/or convex
`portion and surfaces at two or more different levels (e.g., Ex. 1004 ¶¶
`73, 76, Fig. 5; Ex. 1006 ¶ 9, Figs. 3-5; Ex. 1007 ¶¶ 52, 61, Figs 1-3;
`Ex. 1008 ¶¶ 30, 32, Figs. 2A, 2D)
`
`plate the metal part on each of an upper and lower surface (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, such that a metal layer (of plating) is
`disposed at all surfaces of the metal part except a portion of an outer
`lateral surface 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; Ex. 1009 ¶¶ 13, 1,
`12, Abstract, Figs. 1-7);
`
`use a light reflecting material such as titanium dioxide 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 kinds of phosphors
`(e.g., Ex. 1005 ¶ 5; Ex. 1010 ¶ 29);
`
`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);
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`expose at least 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 (from
`plating) at an upper surface of the metal part, and expose a second
`portion of the metal layer at 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; [Park ’697] ¶¶ 1,
`12, Figs. 1a-c). See generally Ex. 1003 ¶¶ 21-34.
`
`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. Petitioners request the Board institute trial and find the Claims
`
`unpatentable under §§ 102 and/or 103.
`
`II. MANDATORY NOTICES (§ 42.8)
`A.
`Real Party-in-Interest (37 C.F.R. § 42.8(b)(1)):
`
`Lowe’s Companies, Inc., Lowe’s Home Centers, LLC and L G Sourcing,
`
`Inc. (collectively “Petitioners”), and Zhejiang Yankon Group Co., Ltd. are real
`
`parties-in-interest. No unnamed entity is funding, controlling, or directing the
`
`Petition.
`
`VIZIO, Inc. previously filed a petition challenging the ’411 (see IPR2018-
`
`00386). VIZIO was represented by different counsel in that proceeding and
`
`VIZIO is not a real party-in-interest herein.
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`United States Patent No. 9,490,411
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`B.
`
`Related Matters (37 C.F.R. § 42.8(b)(2))
`
`1.
`
`Related Patent Office Proceedings
`
`The ’411 is the subject of a petition for IPR previously filed by VIZIO, Inc.
`
`in IPR2018-00386.
`
`Related patent 8,530,250 (“’250”) is also involved in Lowe’s Companies,
`
`Inc. v. Nichia Corporation, IPR2017-02011 and IPR2017-02014. VIZIO, Inc. has
`
`also petitioned for inter partes review of the related ’250 in VIZIO, Inc. v. Nichia
`
`Corporiation, IPR2017-01608 and IPR2017-01623.
`
`VIZIO, Inc. has also petitioned for inter partes review of related patent
`
`9,537,071 (“’071”) in VIZIO, Inc. v. Nichia Corp., IPR2018-00437.
`
`2.
`
`Related Litigation
`
`PO asserted claims 1, 2, 5-8, 10, 13, 15-20 of the ’411 against Petitioners in
`
`Nichia Corporation v. Lowe’s Companies, Inc. et al. No. 2:16-cv-00613-JRG (E.D.
`
`Tex.), consolidated with Nos. 2:16-cv-01453-JRG (lead), 2:16-cv-00246-JRG,
`
`2:16-cv-00613-JRG, 2:16-cv-00615-JRG, 2:16-cv-00616-JRG, 2:16-cv-875-JRG,
`
`2:16-cv-01452-JRG, 2:16-cv-01451-JRG, 2:16-cv-01455-JRG (in which PO
`
`asserted the ’411 against other defendants) (“copending litigation”). PO also
`
`asserted related ’250 against a different party in Nichia Corporation v. Everlight
`
`Elecs. Co., No. 2:13-cv-702-JRG (E.D. Tex.); Appeal Nos. 16-1585, 16-1618 (Fed.
`
`Cir.) (“Everlight litigation”).
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`United States Patent No. 9,490,411
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`III. LEAD AND BACK-UP COUNSEL (37 C.F.R. § 42.8(B)(3)) AND
`SERVICE INFORMATION (37 C.F.R. § 42.8(b)(3)-(4))
`
`Lead Counsel
`Scott D. Stimpson, (Reg. No. 33,607)
`SILLS CUMMIS & GROSS P.C.
`101 Park Avenue, 28th Floor
`New York, New York 10178
`Tel: (212) 500-1550
`Fax: (212) 643-6500
`sstimpson@sillscummis.com
`
`Back-Up Counsel
`Tod Melgar, (Reg. No. 41,190)
`SILLS CUMMIS & GROSS P.C.
`101 Park Avenue, 28th Floor
`New York, New York 10178
`Tel: (212) 500-1519
`Fax: (212) 643-6500
`tmelgar@sillscummis.com
`
`IV.
`
`STANDING (§ 42.104(a))
`
`Petitioners certify that the ’411 is eligible for, and Petitioners are not
`
`estopped from requesting, IPR. Petitioners were served with a Complaint asserting
`
`infringement of the ’411 on or after February 10, 2017. Neither Petitioners nor any
`
`other real party-in-interest or privy was served with a complaint asserting
`
`infringement of the ’411 before that date, or has initiated a civil action challenging
`
`the ’411’s validity.
`
`V.
`
`GROUNDS (§§ 42.22 AND 42.104(b))
`
`Petitioners request IPR of claims 1-3, 5-8, 10, 13, and 15-20 as unpatentable
`
`under §§ 102 and/or 103 as follows (see also Ex. 1003 ¶¶ 56-153):
`
`Ground Prior Art
`
`Ground 1 Loh
`
`Ground 2 Loh
`
`Basis
`
`Claims Challenged
`
`102
`
`103
`
`1-3, 5-8, 13, 15, 19-20
`
`1-3, 5-8, 13, 15, 19-20
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`Ground Prior Art
`
`Ground 3 Loh and Mori
`
`Ground 4 Loh and Wang
`
`Ground 5 Loh, Wang, and Oshio
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`Inter Partes Review
`United States Patent No. 9,490,411
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`Basis
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`Claims Challenged
`
`103
`
`103
`
`103
`
`10
`
`16-18
`
`16-18
`
`Loh, Mori, and Wang were not considered by the Examiner during the
`
`’411’s prosecution. Ex. 1002, 86. Oshio was cited but not discussed during
`
`prosecution. Id. The prior art grounds presented herein are new and not cumulative
`
`of art previously considered during prosecution. E.g., Ex. 1004 ¶¶ 74-82, Figs. 5-7.
`
`§ VII below specifies how the prior art renders the Claims unpatentable. In
`
`support, the Declaration of technical expert, Dr. Stanley R. Shanfield, is attached
`
`(See Ex. 1003 ¶¶ 1-155).
`
`VI. THE ’411 PATENT
`
`A.
`
`Overview of ’411
`
`The ’411 describes the known technique of molding a resin onto a leadframe
`
`with notches to produce an LED package. E.g., Ex. 1001, 3:26-30, 3:38-4:10; Ex.
`
`1003 ¶¶ 35-42. In particular, the ’411 discloses a “resin package” for an LED
`
`comprising a “resin part” (green in Fig. 6, item 125) and a pair of “leads” formed
`
`from “a metal plate” (i.e., “metal part,” blue in Fig. 6, item 122). Ex. 1001, 8:18-
`
`19, 9:28-29, 9:54-56, 13:45-62, Figs. 6-7. The “resin part” can be “thermosetting
`
`resin” containing a “light reflecting member” such as “titanium dioxide.” Id., 8:62-
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`9:3, 14:29-32. Additionally, the metal part may have “a flat plate shape” or
`
`“differences in level or concavity and convexity.” Id., 9:25-27; 9:28-42. A “light
`
`emitting element” (orange in Fig. 6) is mounted on the metal part and “electrically
`
`connected” with the leads through wires. Id., 6:62-7:1, 13:54-56.
`
`Id., Fig. 6.
`
`The ’411 discloses the “lead frame” has “notch parts” (red in Figs. 6-7). Id.,
`
`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
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`part and metal part that are coplanar at four outer lateral surfaces. Id., 5:9-17,
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`13:24-41, 6:38-43, 14:29-32, 14:39-40, Fig. 6.
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`United States Patent No. 9,490,411
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`Id., Figs. 7, 6.
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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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`Id., Fig. 6.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`The ’411 describes the resin package having a concave portion with a
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`bottom surface. Id., 13:54-56, 6:59-63, 7:14-15, 13:10-13, Fig. 6. A sealing
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`member is filled in the concave portion and may contain “one kind alone or two or
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`more kinds” of phosphors to “realize” different colors of light. Id., 10:12-11:36,
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`13:2023, Figs. 1-2.
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`The ’411 also discloses that metal plating “can be applied to the lead frame.”
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`Id., 10:1-11. When cutting occurs after plating and molding, “plating processing is
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`not 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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`B.
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`’411 Prosecution History
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`The application leading to the ’411 was filed October 30, 2015 as U.S. Pat.
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`App. No. 14/928,570 (“’570 application”), claiming priority to JP2008-225408,
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`filed September 3, 2008. See 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
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`the prior art,
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`including U.S. Patent Pubs. 2008/0044934,
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`Inter Partes Review
`United States Patent No. 9,490,411
`2001/0009301, 2008/0224161, and U.S. Patent 6,252,254. 2 Id., 137-145. The
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`Examiner found it was known and would have been obvious to use plated
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`leadframes to “protect from oxidation.” Id., 141. The Examiner also found that
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`cutting the leads after molding “implies the lateral ends of the leads do not have
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`plating metal.” Id. The Examiner further found using two phosphors was taught by
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`the art and would have been obvious “to obtain the benefit of the desired color of
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`the emitted light.” Id., 143-44. Applicants amended prosecution claim 1 (issued as
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`Claim 1) to include the limitation “a notch is formed in the metal part at each of the
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`four outer lateral surfaces of the resin package.” Id., 169, 165-71. On August 5,
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`2016, the claims were allowed. Id., 178-186.
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`VII. DETAILED REASONS FOR RELIEF
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`There is at least a reasonable likelihood Petitioners will prevail with respect
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`to at least one of the Claims (§ 314(a)), as the Claims are unpatentable under §§
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`102 and/or 103.
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`A.
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`Claim Construction
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`For purposes of this review, Petitioners construe 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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`2 The prior art grounds relied on herein are not cumulative of the art cited during
`prosecution. In particular, Loh (e.g., Fig. 5-7) discussed herein was never cited by
`the Examiner and is not cumulative of the art cited during prosecution.
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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 meaning as would be understood by one of ordinary skill in
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`the art at the time of the invention. E.g., Vibrant Media, Inc. v. Gen. Elec. Co.,
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`IPR2013-00170, Paper 14 at 5 (PTAB Jul. 29, 2013).
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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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`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.
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`Level of Ordinary Skill
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`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,
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`or significant experience in the field could substitute for formal education. A
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`POSITA is presumed to have knowledge of all relevant prior art, and would thus
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`have been familiar with each of the references cited herein, as well as the
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`background knowledge in the art discussed in § I supra, and the full range of
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`teachings they contain. Id.
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`C.
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`Summary of Cited Prior Art
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`1.
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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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`(e.g., Fig. 7, item 260) with a resin part (green in Fig. 7, item 230), a metal part
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`(blue in Fig. 7, items 200, 204, 206), and a light emitting element (orange in Fig. 7,
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`item 214). E.g., Ex. 1004 ¶¶ 74-76, 81, 90-91, 94, 96, 103, Figs. 5-7; see Ex. 1003
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`¶¶ 57-61. In particular, Loh discloses a “lighting package 260” (see Figs. 5-7)
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`comprising a “package body 230” made of a “thermoset” such as “epoxy or
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`phenolic resin.” Ex. 1004 ¶¶ 74, 76, 90-91, 94, 96, 103, 74-82, Figs. 5, 7. Package
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`260 includes a “leadframe 200” “made of a metal” having a “plurality of electrical
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`leads 204, 206.” Id. ¶¶ 74-75. The leadframe may have differences in level. E.g.,
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`id. ¶¶ 75-76, Fig. 5. A “light emitting device[] 214” is mounted on the metal part
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`and “electrically connected” with the leads. Id. ¶ 81.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`Id., Fig. 7.
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`As shown in red in Figs. 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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`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
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`connection to the leadframe 200 without the necessity of an adhesive.” Id. ¶ 78,
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`Figs. 5-7. After “molding,” the resin and leadframe are cut along the notches to
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`trim off external frame 201, thus forming a resin part and metal part that are
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`coplanar at four outer lateral surfaces. Id. ¶¶ 75, 76, cl. 5, Figs. 6-7.
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`United States Patent No. 9,490,411
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`Id., Figs. 6, 7.
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`Fig.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. Figs. 7 and 5 show the resin package has a concave portion with a bottom
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`surface. Id. ¶ 79. A sealing member is filled in the concave portion and contains “a
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`wavelength conversion material, such as a phosphor.” Id.
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`Id., Fig. 7.
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`Inter Partes Review
`United States Patent No. 9,490,411
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`Id., Fig. 5.
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`Loh is analogous art to the ’411—it is in the same field of endeavor relating
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`to “semiconductor” technology, including manufacturing and packaging processes
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`for an LED and is reasonably pertinent to the ’411’s purported problem of
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`providing an LED that “is small, provides good power efficiency, and emits light
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`of bright color” and “improve[d] adhesion between the lead frame and the
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`thermosetting resin.” Ex. 1001, 1:18-36, 2:32-37, 3:51-55, 5:17-21, 3:26-30, 3:28-
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`4:10; Ex. 1004 ¶¶ 2, 7, 37, 66, 99, 85, 78, Abstract; Ex. 1003 ¶ 61.
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`2.
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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., Fig.e 9, item 111) with a resin part (green in Fig. 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 Fig. 9, item 114). E.g., Ex. 1005 ¶¶ 5-10, 59-66,
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`70, 87-91, Figs. 1-3, 8-9; see Ex. 1003 ¶¶ 62-64. Mori discloses it is
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`United States Patent No. 9,490,411
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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
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`a color temperature without restraint.” Id. ¶¶ 10-12; see also, e.g., id. ¶¶ 91, 87,
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`Figs. 1-3, 8-9.
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`Id., Fig. 9.
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`Mori is analogous art to the ’411—it is in the same field of endeavor relating
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`to “semiconductor” technology, including manufacturing and packaging processes
`
`for an LED and is reasonably pertinent to the ’411’s purported problem of
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`providing an LED that “is small, provides good power efficiency, and emits light
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`of bright color” and “realiz[ing]” different colors of light. Ex. 1001, 1:18-36, 2:32-
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`37, 10:13-11:36; Ex. 1005 ¶¶ 2, 37, 70