Inter Partes Review
` United States Patent No. 9,537,071
`
`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. 9,537,071
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 9,537,071
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`TABLE OF CONTENTS
`
`I.
`
`INTRODUCTION ......................................................................................... 1
`
`II. MANDATORY NOTICES (§ 42.8) .............................................................. 4
`
`A.
`
`B.
`
`Real Party-in-Interest (37 C.F.R. § 42.8(b)(1)) ..................................... 4
`
`Related Matters (37 C.F.R. § 42.8(b)(2)) .............................................. 4
`
`1.
`
`2.
`
`Related Patent Office Proceedings.............................................. 4
`
`Related Litigation ........................................................................ 5
`
`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.
`
`V.
`
`STANDING (37 C.F.R. § 42.104(A)) ............................................................ 6
`
`GROUNDS (37 C.F.R. § 42.22 AND 37 C.F.R. § 42.104(B)) ..................... 7
`
`VI. THE ’071 ......................................................................................................... 7
`
`A.
`
`B.
`
`Overview of the ’071 ............................................................................. 7
`
`The ’071 Prosecution History ............................................................. 10
`
`VII. DETAILED REASONS FOR RELIEF ..................................................... 11
`
`A.
`
`B.
`
`C.
`
`Claim Construction.............................................................................. 11
`
`Level of Ordinary Skill ....................................................................... 12
`
`Summary of Cited Prior Art ................................................................ 12
`
`1.
`
`2.
`
`3.
`
`4.
`
`U.S. Patent Publication No. 2008/0012036 (“Loh”) ................ 12
`
`U.S. Patent Publication No. 2005/0211991 (“Mori”) ............... 16
`
`U.S. Patent Publication No. 2008/0073662 (“Wang”) ............. 18
`
`U.S. Patent Publication No. 2005/0280017 (“Oshio”) ............. 19
`
`ii
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`Inter Partes Review
`United States Patent No. 9,537,071
`
`D.
`
`Claims 1, 4, 8-9, 11-12, 15-18, and 25 are unpatentable under
`§§ 102 and 103 over Loh (Grounds 1 and 2) ...................................... 20
`
`1.
`
`Invalidity of Claim 1 Over Loh ................................................ 20
`
`Invalidity of Claim 4 Over Loh: “The light emitting
`2.
`device according to claim 1, wherein at least a portion of the
`light emitting element is exposed from the resin part” ....................... 33
`
`Invalidity of Claim 8 Over Loh: “The light emitting
`3.
`device according to claim 1, wherein the resin part contains a
`light reflecting material” ..................................................................... 34
`
`Invalidity of Claim 9 Over Loh: “The light emitting
`4.
`device according to claim 8, wherein the light reflecting
`material is titanium dioxide” ............................................................... 35
`
`Invalidity of Claim 11 Over Loh: “The light emitting
`5.
`device according to claim 1, wherein the resin part is made
`using a thermosetting resin” ................................................................ 35
`
`Invalidity of Claim 12 Over Loh: “The light emitting
`6.
`device according to claim 1, wherein the metal part has a step
`portion, a concave portion, and/or a convex portion” ......................... 35
`
`7.
`
`8.
`
`Invalidity of Claim 15 Over Loh .............................................. 36
`
`Invalidity of Claim 16 Over Loh .............................................. 38
`
`Invalidity of Claim 17 Over Loh: “The light emitting
`9.
`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
`10.
`device according to claim 16, wherein the metal part has a step
`portion, a concave portion, and/or a convex portion” ......................... 42
`
`Invalidity of Claim 25 Over Loh: “The light emitting
`11.
`device according to claim 16, wherein the resin part contains a
`light reflecting material” ..................................................................... 42
`
`iii
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`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`E.
`
`Claims 2 and 19 are obvious under § 103 over Loh and Mori
`(Ground 3) ........................................................................................... 42
`
`Invalidity of Claim 2 Over Loh and Mori: “The light
`1.
`emitting device according to claim 1, wherein the light emitting
`device further comprises a sealing member that contains two or
`more kinds of phosphors” ................................................................... 42
`
`Invalidity of Claim 19 Over Loh and Mori: “The light
`2.
`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
`
`3.
`
`Motivation to Combine Loh and Mori ...................................... 45
`
`F.
`
`Claims 5-7 and 21-23 are obvious under § 103 over Loh and
`Wang (Ground 4), and, alternatively, Loh, Wang, and Oshio
`(Ground 5) ........................................................................................... 46
`
`Invalidity of Claim 5 Over Loh and Wang, and,
`1.
`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” ................................................................................................ 46
`
`Invalidity of Claim 6 Over Loh and Wang, and,
`2.
`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” .................................................................... 49
`
`Invalidity of Claim 7 Over Loh and Wang, and,
`3.
`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 second portion of the metal layer at the upper
`surface of the metal part is exposed from the resin part” .................... 52
`
`iv
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`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`Invalidity of Claim 21 Over Loh and Wang, and,
`4.
`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,
`5.
`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,
`6.
`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
`
`7.
`
`8.
`
`Motivation to Combine Loh and Wang .................................... 57
`
`Motivation to Combine Loh, Wang, and Oshio........................ 62
`
`G.
`
`No Secondary Considerations of Nonobviousness ............................. 66
`
`VIII. CONCLUSION ............................................................................................ 68
`
`CLAIM LISTING APPENDIX
`
`v
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`TABLE OF AUTHORITIES
`
`Page(s)
`
`Federal Cases
`Agrizap, Inc. v. Woodstream Corp.,
`520 F.3d 1337 (Fed. Cir. 2008) .......................................................................... 67
`
`Amneal Pharms., LLC v. Supernus Pharms., Inc.,
`IPR2013-00368, Paper 8 (PTAB Dec. 17, 2013) ............................................... 67
`
`ClassCo, Inc. v. Apple, Inc.,
`838 F.3d 1214 (Fed. Cir. 2016) .......................................................................... 68
`
`Dell, Inc. v. Network-1 Sec. Sols., Inc.,
`No. IPR2013-00385, Paper 17 (PTAB July 29, 2013) ......................................... 1
`
`Hewlett-Packard Co. v. Mustek Sys. Inc.,
`340 F.3d 1314 (Fed. Cir. 2003) .......................................................................... 50
`
`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) ...................................................................................... 62, 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
`
`Vivid Techs. Inc. v. Am. Sci. & Eng’g Inc.,
`200 F.3d 795 (Fed. Cir. 1999) ............................................................................ 11
`
`vi
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`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`Federal Statutes
`
`35 U.S.C. §§ 311-319................................................................................................. 1
`
`Regulations
`
`37 C.F.R. § 42 ........................................................................................................ 1, 7
`
`37 C.F.R. § 42.8(b)(1) ................................................................................................ 4
`
`37 C.F.R. § 42.8(b)(2) ................................................................................................ 4
`
`37 C.F.R. § 42.8(b)(3) ................................................................................................ 5
`
`37 C.F.R. § 42.8(b)(4) ................................................................................................ 5
`
`37 C.F.R. § 42.104(A) ............................................................................................... 6
`
`37 C.F.R. § 42.104(B) ................................................................................................ 7
`
`vii
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`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`LIST OF EXHIBITS
`
`Exhibit Description
`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”)
`Japanese Patent Publication No. JP2006-093697 (“Park ’697”) with
`Ex. 1009
`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, 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 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. 1012
`
`Ex. 1013
`
`viii
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`

`

` Inter Partes Review
` United States Patent No. 9,537,071
`
`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, 2, 4-9,
`
`11-12, 15-19, 21-23, and 25 (“Claims”) of U.S. Patent No. 9,537,071 (“ the ’071”),
`
`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 IPR2018-00437. Dell, Inc. v. Network-1 Sec. Sols., Inc., No.
`
`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 ’071 claims a light emitting diode (LED) package comprising a resin
`
`part and metal part with notches on four sides is new. Ex. 1001, 3:51-55. It is not.
`
`Before the ’071, it was well-known to manufacture LED packages comprising a
`
`resin part and a metal part with notches on four sides and the Claims were well-
`
`known and obvious prior to the claimed priority date.
`
`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
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`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`Indeed, LEDs, and methods of manufacturing LEDs, were well-known
`
`before the ’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,
`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
`¶¶ 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);
`
`2
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`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`• 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);
`
`• 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.
`
`3
`
`

`

`Inter Partes Review
`United States Patent No. 9,537,071
`
`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 ’071 (see IPR2018-
`
`00437). VIZIO was represented by different counsel in that proceeding and
`
`VIZIO is not a real party-in-interest herein.
`
`B. Related Matters (37 C.F.R. § 42.8(b)(2))
`
`1.
`
`Related Patent Office Proceedings
`
`The ’071 is the subject of a petition for IPR previously filed by VIZIO, Inc.
`
`in IPR2018-00437.
`
`Related patent 8,530,250 (“’250”) is also involved in Lowe’s Companies,
`
`Inc. v. Nichia Corp., IPR2017-02011 and IPR2017-02014. VIZIO, Inc. has also
`
`4
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`Inter Partes Review
`United States Patent No. 9,537,071
`
`petitioned for inter partes review of the related ’250 in VIZIO, Inc. v. Nichia Corp.,
`
`IPR2017-01608 and IPR2017-01623.
`
`Related patent 9,537,411 (“’411”) is also involved in Lowe’s Companies,
`
`Inc. v. Nichia Corp., IPR2018-00601. VIZIO, Inc. has also petitioned for inter
`
`partes review of related patent ’411 in VIZIO, Inc. v. Nichia Corp., IPR2018-
`
`00386.
`
`2.
`
`Related Litigation
`
`PO asserted claims 15-19, 21-23, and 25 of the ’071 against the Petitioners
`
`in Nichia Corp. v. Lowe’s Home Centers, LLC, No. 2:16-cv-1455-JRG (E.D. Tex.),
`
`previously consolidated with [now dismissed] cases Nos. 2:16-cv-1452-JRG, 2:16-
`
`cv-1453-JRG (lead), 2:16-cv-1454-JRG, 2:16-cv-875-JRG, 2:16-cv-00246-JRG,
`
`2:16-cv-00613-JRG, 2:16-cv-00615-JRG, and 2:16-cv-00616-JRG (in which PO
`
`asserted the ’071, and related ’250 and ’411 against other defendants) (“copending
`
`litigation”); Nichia has recently refiled its case against one of the previously
`
`consolidated defendants in Nichia Corp. v. Feit Electronic Co., 2:18-CV-1390
`
`(C.D. Cal. Feb. 20, 2018) (again asserting the ’071 and related ’411 and ’250). PO
`
`also asserted the related ’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”).
`
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`Inter Partes Review
`United States Patent No. 9,537,071
`
`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)
`sstimpson@sillscummis.com
`SILLS CUMMIS & GROSS P.C.
`101 Park Avenue, 28th Floor
`New York, New York 10178
`Tel: (212) 500-1550
`Fax: (212) 643-6500
`
`Back-Up Counsel
`B. Todd Patterson (Reg. No. 37,906)
`tpatterson@pattersonsheridan.com
`PATTERSON + SHERIDAN, LLP
`24 Greenway Plaza, Suite 1600,
`Houston, TX 77046
`Tel: (713) 577-4801
`Fax: (713) 713-623-4844
`
`Tod Melgar, (Reg. No. 41,190)
`tmelgar@sillscummis.com
`Steven Luksenberg (Reg. No. 67,425)
`sluksenberg@sillscummis.com
`SILLS CUMMIS & GROSS P.C.
`101 Park Avenue, 28th Floor
`New York, New York 10178
`Tel: (212) 643-7000
`Fax: (212) 643-6500
`
`IV. STANDING (37 C.F.R. § 42.104(A))
`
`Petitioners certify that the ’071 is eligible for, and Petitioners are not
`
`estopped from requesting, IPR. Petitioners were served with a Complaint asserting
`
`infringement of the ’071 on or after March 1, 2017. Neither Petitioners nor any
`
`other real party-in-interest or privy was served with a complaint asserting
`
`infringement of the ’071 before that date, or has initiated a civil action challenging
`
`the ’071’s validity.
`
`6
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`Inter Partes Review
`United States Patent No. 9,537,071
`
`V. GROUNDS (37 C.F.R. § 42.22 AND 37 C.F.R. § 42.104(B))
`
`The Petitioners request 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
`
`102
`
`103
`
`103
`
`103
`
`103
`
`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
`
`Loh, Mori, and Wang were not considered by the Examiner during the
`
`’071’s prosecution. Ex. 1002. Oshio was cited but not discussed. The prior art
`
`grounds presented herein are new and not cumulative of the art previously
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`considered during prosecution. Ex. 1004 ¶¶ 74-82, Figs. 5-7.
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`Section VII specifies how the prior art renders the Claims unpatentable. The
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`Declaration of technical expert, Dr. Stanley R. Shanfield, is attached in support
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`(Ex. 1003 ¶¶ 1-182).
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`VI. THE ’071
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`A. Overview of the ’071
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`The ’071 describes the known technique of molding a resin onto a leadframe
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`with notches to produce an LED package. Ex. 1001, 3:26-30, 3:38-4:10; see
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`Inter Partes Review
`United States Patent No. 9,537,071
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`generally Ex. 1003 ¶¶ 38-46. The ’071 discloses a “resin package” for an LED
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`comprising a “resin part” (green in Fig. 12, item 425) and a pair of “leads” formed
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`from “a metal plate” (i.e., “metal part,” blue in Fig. 12, item 422). Ex. 1001, 8:15-
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`16, 9:25-26, 9:51-53, 13:43-60, 16:53-17:9, Figs. 12, 1, 3, 6-7. The “resin part”
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`can be “thermosetting resin” containing a “light reflecting member” such as
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`“titanium dioxide.” Id., 8:59-67, 14:27-30. “The lead frame is formed
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`by…punching or etching a metal plate of a flat plate shape.” Id., 9:25-26. Fig. 12
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`shows metal plates that are substantially flat where all upper edges are coplanar.
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`Id., 9:25-26, Figs. 12, 2. The metal part may have “differences in level or
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`concavity and convexity.” Id., 9:22-24. A “light emitting element” (orange in Fig.
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`12) is mounted on the metal part and “electrically connected” with the leads
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`through wires. 6:57-64, Fig. 12, 13:52-54, Fig. 6.
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`Id., Fig. 12.
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`Inter Partes Review
`United States Patent No. 9,537,071
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`The ’071 discloses the “lead frame” has “notch parts” (red in Figs. 6-7) that
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`“penetrate the lead frame.” Id., 5:55-64, 4:13-15, 17:6-9, 9:51-58, Figs. 1, 12,
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`14:3-5, Figs. 6-7. During molding, resin fills the notches. Id., 5:17-21, 8:14-15,
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`14:27-30. After molding, the resin and leadframe are cut along the notches to form
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`a resin part and metal part that are coplanar at four outer lateral surfaces. Id., 5:9-
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`17, 6:34-39, 13:24-41, 14:27-30, 14:37-38, Figs. 3, 12, 6-7.
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`Id., Figs. 3, 12.
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`Fig. 12 shows the resin part is located at left and right sides of a portion of
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`the metal part at two outer lateral surfaces. The resin package has a concave
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`portion with a bottom surface. Id., 6:55-58, 7:10-12, Fig. 12, 13:10-13, 13:52-54,
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`Fig. 6. As shown in Fig. 2, a portion of an outer surface of the resin part and a
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`portion of an outer surface of the metal part are coplanar at an outer bottom
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`surface. Id., Fig. 2. A lower surface of the metal part is exposed from the resin
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`part in a region directly under the light emitting element. Id. A sealing member is
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`filled in the concave portion, containing “two or more kinds” of phosphors to
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`“realize” different colors of light. Id., 10:9-11:34, 13:20-23, Figs. 1-2.
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`Inter Partes Review
`United States Patent No. 9,537,071
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`Id., Fig. 2.
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`The ’071 also discloses that metal plating “can be applied to the lead frame.”
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`Id., 9:65-10:9. When cutting occurs after plating and molding, “plating processing
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`is 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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`The ’071 Prosecution History
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`The application leading to the ’071 was filed October 30, 2015 as U.S. Pat.
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`App. No. 14/928,550 (“’550 application”), claiming priority to JP2008-225408,
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`filed September 3, 2008. Ex. 1003 ¶¶ 47-52.
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`The ’550 application underwent brief prosecution, with only one Office
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`Action. Ex. 1002, 137-46. The Office Action rejected prosecution claims 1-10,
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`10
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`Inter Partes Review
`United States Patent No. 9,537,071
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`12-13, 15-26 and 28-29 as anticipated and/or obvious over the prior art, including
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`U.S. Patent Pubs. 2008/0224161, 2007/0138697, 2008/0044934,
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`and
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`2001/0009301, and U.S. Patent 6,252,254. Ex. 1002, 137-48. The Examiner
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`found it was known and obvious to use plated leadframes to protect the metal plate
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`“from oxidation” and that cutting the leads after plating “results in the lateral
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`surfaces of the lead frame exposed.” Id., 142-143. The Examiner found using two
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`phosphors was known and obvious “to obtain the benefit of the desired emission.”
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`Id., 145-46. In response, Applicants amended prosecution claims 1, 17-18 (issued
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`as Claims 1, 15-16) to include the limitation “wherein a notch is formed in the
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`metal part at each of the four outer lateral surfaces of the resin package.” Id., 162,
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`162-70. On August 26, 2016, the claims were allowed. Id., 176-184.
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`VII. DETAILED REASONS FOR RELIEF
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`There is at least a reasonable likelihood that the Petitioners will prevail with
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`respect to at least one of the Claims, as they are unpatentable under §§ 102 and/or
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`103.
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`A. Claim Construction
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`With respect to the term “a notch is formed in the metal part” (claims 1, 15-
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`16), this 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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`Inter Partes Review
`United States Patent No. 9,537,071
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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. 1014 (Ex. A,
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`3); Ex. 1013, 16-18; Ex. 1012, 16-20; Ex. 1003 ¶¶ 53-55. Alternatively, if
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`construed, this term means “there is an opening that penetrates the metal part.” Ex.
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`1001, 4:13-15 (“the notch parts and hole parts … penetrate the lead frame”), Figs.
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`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 ¶¶ 16-
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`18, 4-15. Additional graduate education could substitute for professional
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`experience, or significant experience in the field could substitute for formal
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`education. A POSITA is presumed to have knowledge of all relevant prior art, and
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`would thus have been familiar with each of the references cited herein, as well as
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`the background knowledge in the art discussed in § I, 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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`Inter Partes Review
`United States Patent No. 9,537,071
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`Loh (Ex. 1004), published January 17, 2008, is prior art under at least §§
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`102(a)-(b), (e). Loh discloses a light emitting device comprising a resin package
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`(Fig. 7, item 260) with a resin part (green in Fig. 7, item 230), a metal part (blue in
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`Fig. 7, items 200, 204, 206), and a light emitting element (orange in Fig. 7, item
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`214). Ex. 1004 ¶¶ 74-76, 81, 90-91, 94, 96, 103, Figs. 5-7; Ex. 1003 ¶¶ 57-61. In
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`particular, Loh discloses a “lighting package 260” (see Figs. 5-7) comprising a
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`“package body 230” made of a “thermoset” such as “epoxy or phenolic resin.” Ex.
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`1004 ¶¶ 74, 76, 90-91, 94, 96, 103, 74-82, Figs. 5, 7. Package 260 includes a
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`“leadframe 200” “made of a metal” having a “plurality of electrical leads 204,
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`206.” Id. ¶¶ 74-75. The leadframe may have differences in level. Id. ¶¶ 75-76,
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`Fig. 5. A “light emitting device[] 214” is mounted on the metal part and
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`“electrically connected” with the leads. Id. ¶ 81.
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`Id., Fig. 7.
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`Inter Partes Review
`United States Patent No. 9,537,071
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`As shown in red in Figs. 6-7 below, Loh discloses the leadframe includes
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`notches at the four outer lateral surfaces. Id. ¶ 75, Fig. 6. During “molding,” resin
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`is filled in the notches to form “package body 230” “on/around the leadframe.” Id.
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`¶¶ 76, 78, 69. “By filling the recesses 226 with the package body 230, the package
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`body 230 may form a strong mechanical connection to the leadframe 200 without
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`the necessity of an adhesive.” Id. ¶ 78, Figs. 5-7. After “molding,” the resin and
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`leadframe are cut along the notches to trim off external frame 201, thus forming a
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`resin part and metal part that are coplanar at four outer lateral surfaces. Id. ¶¶ 75-
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`76, cl. 5, Figs. 6-7.
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`Id., Figs. 6, 7.
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`Fig. 7 shows a portion of an outer lateral surface of the resin part (in green)
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`and portion of an outer lateral surface of the metal part (in blue) are coplanar at
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`four outer lateral surfaces (outlined in red). Fig. 7 also shows the resin part is
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`Inter Partes Review
`United States Patent No. 9,537,071
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`located at left and right sides of a portion of the metal part at at least two outer
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`lateral surfaces. Figs. 7 and 5 show the resin package has a concave portion with a
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`bottom surface. Id. ¶ 79.
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`Id., Fig. 7.
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`Fig. 5 shows a portion of an outer surface of the resin part and a portion of
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`an outer surface of the metal part are coplanar at an outer bottom surface, and a
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`lower surface of the metal part is exposed from the resin part in a region directly
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`under the light emitting element. Id., Fig. 5. A sealing member is filled in the
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`concave portion of the resin package and may contain “a phosphor.” Id. ¶ 79.
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`15
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`Inter Partes Review
`United States Patent No. 9,537,071
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`Id., Fig. 5.
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`Loh is analogous art to the ’071—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