`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`
`SAMSUNG ELECTRONICS CO., LTD.,
`SAMSUNG ELECTRONICS AMERICA, INC.,
`Petitioners
`
`v.
`
`NANOCO TECHNOLOGIES LIMITED,
`Patent Owner
`
`
`U.S. PATENT NO. 8,524,365
`
`Case IPR2020-_____
`
`
`PETITION FOR INTER PARTES REVIEW
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
`
`
`
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`I.
`II.
`
`TABLE OF CONTENTS
`
`INTRODUCTION ......................................................................................... 1
`BACKGROUND OF THE ’365 PATENT .................................................. 1
`A.
`Technology Overview ........................................................................... 1
`1.
`Semiconductor Nanoparticles ..................................................... 1
`2.
`The Size, Shape, And Composition Of Semiconductor
`Nanoparticles Dictate Their Light Emitting Properties .............. 2
`3. Well-Known Methods of Synthesizing Nanoparticles ............... 3
`Alleged Invention Of The ’365 Patent .................................................. 6
`B.
`Prosecution History Of The ’365 Patent ............................................. 10
`C.
`IDENTIFICATION AND BASIS OF CHALLENGE ............................. 12
`III.
`IV. THE ART AND ARGUMENTS IN THIS PETITION WERE
`NOT PREVIOUSLY BEFORE THE PATENT OFFICE. ...................... 15
`V. OVERVIEW OF THE ASSERTED PRIOR ART ................................... 16
`A.
`Banin .................................................................................................... 16
`B.
`Zaban ................................................................................................... 17
`C.
`Farneth ................................................................................................. 17
`D. Yu ........................................................................................................ 18
`E.
`Lucey ................................................................................................... 18
`F.
`Ahrenkiel ............................................................................................. 19
`G. Herron .................................................................................................. 19
`H.
`Treadway ............................................................................................. 20
`VI. LEVEL OF ORDINARY SKILL IN THE ART ...................................... 20
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`VII. CLAIM CONSTRUCTION ........................................................................ 21
`VIII. THE CHALLENGED CLAIMS ARE UNPATENTABLE ..................... 22
`A. Ground 1: Claims 1, 7-12, 17, And 22-23 Are Anticipated By
`Banin .................................................................................................... 22
`1.
`Claim 1 ...................................................................................... 22
`2.
`Claim 7 ...................................................................................... 24
`3.
`Claim 8 ...................................................................................... 25
`4.
`Claim 9 ...................................................................................... 25
`5.
`Claim 10 .................................................................................... 25
`6.
`Claim 11 .................................................................................... 26
`7.
`Claim 12 .................................................................................... 26
`8.
`Claim 17 .................................................................................... 26
`9.
`Claim 22 .................................................................................... 30
`10. Claim 23 .................................................................................... 31
`Ground 2: Claims 1, 7-12, 15-17, And 22-23 Are Rendered
`Obvious By Banin ............................................................................... 31
`1.
`Claim 15 .................................................................................... 31
`2.
`Claim 16 .................................................................................... 33
`Ground 3: Claims 2-6 And 18-21 Are Rendered Obvious By
`Banin In View Of Herron .................................................................... 33
`1. Motivation to Combine Banin and Herron ............................... 33
`2.
`Claim 2 ...................................................................................... 36
`3.
`Claim 3 ...................................................................................... 37
`4.
`Claim 4 ...................................................................................... 37
`
`B.
`
`C.
`
`ii
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`E.
`
`5.
`Claim 5 ...................................................................................... 37
`Claim 6 ...................................................................................... 37
`6.
`Claim 18 .................................................................................... 38
`7.
`Claim 19 .................................................................................... 38
`8.
`Claim 20 .................................................................................... 38
`9.
`10. Claim 21 .................................................................................... 39
`D. Ground 4: Claims 13 and 14 Are Rendered Obvious By Banin
`In View Of Treadway .......................................................................... 39
`1. Motivation to Combine Banin and Treadway........................... 39
`2.
`Claim 13 .................................................................................... 41
`3.
`Claim 14 .................................................................................... 42
`Ground 5: Claims 1-9 and 17-23 Are Rendered Obvious By
`Zaban In View Of Farneth and Yu ...................................................... 42
`1. Motivation to Combine Zaban, Farneth, and Yu ...................... 42
`2.
`Claim 1 ...................................................................................... 47
`3.
`Claim 2 ...................................................................................... 49
`4.
`Claim 3 ...................................................................................... 49
`5.
`Claim 4 ...................................................................................... 49
`6.
`Claim 5 ...................................................................................... 49
`7.
`Claim 6 ...................................................................................... 49
`8.
`Claim 7 ...................................................................................... 50
`9.
`Claim 8 ...................................................................................... 50
`10. Claim 9 ...................................................................................... 50
`11. Claim 17 .................................................................................... 50
`
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`F.
`
`12. Claim 18 .................................................................................... 53
`13. Claim 19 .................................................................................... 53
`14. Claim 20 .................................................................................... 53
`15. Claim 21 .................................................................................... 53
`16. Claim 22 .................................................................................... 53
`17. Claim 23 .................................................................................... 54
`Ground 6: Claims 1, 2, 4, 7-12, 17-18, And 22-23 Are
`Rendered Obvious by Lucey In View Of Ahrenkiel ........................... 54
`1. Motivation to Combine Lucey and Ahrenkiel .......................... 54
`2.
`Claim 1 ...................................................................................... 56
`3.
`Claim 2 ...................................................................................... 58
`4.
`Claim 4 ...................................................................................... 58
`5.
`Claim 7 ...................................................................................... 58
`6.
`Claim 8 ...................................................................................... 58
`7.
`Claim 9 ...................................................................................... 59
`8.
`Claim 10 .................................................................................... 59
`9.
`Claim 11 .................................................................................... 59
`10. Claim 12 .................................................................................... 59
`11. Claim 17 .................................................................................... 60
`12. Claim 18 .................................................................................... 62
`13. Claim 22 .................................................................................... 63
`14. Claim 23 .................................................................................... 63
`G. Ground 7: Claims 13-16 Are Rendered Obvious By Lucey In
`View Of Ahrenkiel and Treadway ...................................................... 63
`
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`1. Motivation to Combine Lucey, Ahrenkiel, and Treadway ....... 63
`2.
`Claim 13 .................................................................................... 64
`3.
`Claim 14 .................................................................................... 65
`4.
`Claim 15 .................................................................................... 65
`5.
`Claim 16 .................................................................................... 65
`Secondary Considerations Of Non-Obviousness ................................ 66
`H.
`IX. DISCRETIONARY DENIAL IS NOT APPROPRIATE HERE. ........... 66
`X. GROUNDS FOR STANDING .................................................................... 71
`XI. MANDATORY NOTICES ......................................................................... 71
`A.
`Real Parties-In-Interest ........................................................................ 71
`B.
`Related Matters .................................................................................... 71
`C.
`Counsel And Service Information ....................................................... 71
`XII. PAYMENT OF FEES ................................................................................. 72
`XIII. CONCLUSION ............................................................................................ 72
`
`
`
`
`
`v
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`Exhibit No.
`1001
`1002
`
`1003
`1004
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`1012
`
`1013
`1014
`1015
`1016
`
`LIST OF EXHIBITS
`Description
`U.S. Patent No. 8,524,365 (“the ’365 patent”)
`Declaration of Mark A. Green in Support of Petition for Inter
`Partes Review of U.S. Patent No. 8,524,365
`Curriculum Vitae for Mark A. Green
`Prosecution History of U.S. Patent No. 8,524,365
`International Patent Publication No. WO 03/097904 to Banin et
`al. (“Banin”)
`A. Zaban et al., Photosensitization of Nanoporous TiO2
`Electrodes with InP Quantum Dots, 14 LANGMUIR 3153 (1998)
`(“Zaban”)
`Olga I. Mićić et al., Synthesis and Characterization of InP
`Quantum Dots, 98 J. PHYSICAL CHEMISTRY 4966 (1994) (“Mićić”)
`V. Ptatschek et al., Quantized Aggregation Phenomena in II–VI-
`Semiconductor Colloids, 102 BERICHTE DER BUNSEN–
`GESELLSCHAFT FÜR PHYSIKALISCHE CHEMIE 85 (1998)
`(“Ptatschek”)
`W. E. Farneth et al., Bulk Semiconductors from Molecular Solids:
`A Mechanistic Investigation, 4 CHEMISTRY OF MATERIALS 916
`(1992) (“Farneth”)
`Heng Yu et al., Heterogeneous Seeded Growth: A Potentially
`General Synthesis of Monodisperse Metallic Nanoparticles, 123 J.
`AM. CHEMICAL SOC’Y 9198 (2001) (“Yu”)
`U.S. Patent No. 7,193,098 to Lucey et al. (“Lucey”)
`S.P. Ahrenkiel et al., Synthesis and Characterization of Colloidal
`InP Quantum Rods, 3 NANO LETTERS 833 (2003) (“Ahrenkiel”)
`INTENTIONALLY OMITTED
`INTENTIONALLY OMITTED
`U.S. Patent No. 6,815,064 to Treadway et al. (“Treadway”)
`N. Herron et al., Crystal Structure and Optical Properties of
`Cd32S14(SC6H5)36·DMF4, a Cluster with a 15 Angstrom CdS
`
`vi
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`

`

`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`1017
`
`1018
`
`1019
`
`1020
`
`1021
`
`1022
`
`1023
`1024
`1025
`1026
`1027
`1028
`1029
`1030
`1031
`1032
`1033
`1034
`1035
`
`1036
`1037
`
`Core, 259 SCIENCE 1426 (1993) (“Herron”)
`Seven Networks, LLC v. Apple Inc., C.A. No. 2:19-cv-00115-JRG,
`Dkt. 313 (Sept. 22, 2020)
`Docket Control Order, Nanoco Technologies Ltd. v. Samsung
`Electronics Co., Ltd., No. 2:20-cv-00038 (E.D. Tex.)
`October 2021 Calendar for Judge Rodney Gilstrap, Eastern
`District of Texas
`Return of summons to Samsung Electronics Co. and Samsung
`Electronics America, Nanoco Technologies Ltd. v. Samsung
`Electronics Co., Ltd., No. 2:20-cv-00038 (E.D. Tex.)
`Letter dated November 9, 2020 from M. Pearson to M. Newman
`re stipulation about invalidity grounds
`Infringement contentions, Nanoco Technologies Ltd. v. Samsung
`Electronics Co., Ltd., No. 2:20-cv-00038 (E.D. Tex.)
`Cover material for Zaban
`Cover material for Mićić
`INTENTIONALLY OMITTED
`Cover material for Farneth
`Cover material for Yu
`Cover material for Ahrenkiel
`INTENTIONALLY OMITTED
`Cover material for Herron
`Declaration of Chris Lowden
`Declaration of David Smorodin
`INTENTIONALLY OMITTED
`Declaration of Rachel Watters
`Catherine J. Murphy, Optical Sensing with Quantum Dots, 74
`ANALYTICAL CHEMISTRY 520A (2002)
`U.S. Patent App. No. 2003/0106488 to Huang et al.
`NANOPARTICLES: FROM THEORY TO APPLICATION (Günter Schmid
`ed., March 2004)
`
`vii
`
`

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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`1038
`
`1039
`
`1040
`1041
`
`1042
`1043
`1044
`
`1045
`
`1046
`
`1047
`
`1048
`
`1049
`
`1050
`
`1051
`1052
`
`Victor I. Klimov, Nanocrystal Quantum Dots, 28 LOS ALAMOS
`SCI. 214 (2003)
`David J. Norris, Electronic Structure in Semiconductor
`Nanocrystals, in SEMICONDUCTOR AND METAL NANOCRYSTALS 65
`(Victor I. Klimov ed., 2003)
`U.S. Patent App. Pub. No. 2004/0036130 to Lee et al. (“Lee”)
`Andy Watson et al., Lighting Up Cells with Quantum Dots, 34
`BIOTECHNIQUES 296 (2003)
`INTENTIONALLY OMITTED
`INTENTIONALLY OMITTED
`Victor K. LaMer et al., Theory, Production and Mechanism of
`Formation of Monodispersed Hydrosols, 72 J. AM. CHEMICAL
`SOC’Y 4847 (1950)
`Scott L. Cumberland et al., Inorganic Clusters as Single-Source
`Precursors for Preparation of CdSe, ZnSe, and CdSe/ZnS
`Nanomaterials, 14 CHEMISTRY OF MATERIALS 1576 (2002)
`C. B. Murray et al., Synthesis and Characterization of Nearly
`Monodisperse CdE (E = S, Se, Te) Semiconductor
`Nanocrystallites, 115 J. AM. CHEMICAL SOC’Y 8706 (1993)
`David Battaglia et al., Formation of High Quality InP and InAs
`Nanocrystals in a Noncoordinating Solvent, 2 NANO LETTERS
`1027 (2002)
`Tobias Hanrath et al., Nucleation and Growth of Germanium
`Nanowires Seeded by Organic Monolayer-Coated Gold
`Nanocrystals, 124 J. AM. CHEMICAL SOC’Y 1424 (2002)
`Jennifer A. Hollingsworth et al., “Soft” Chemical Synthesis and
`Manipulation of Semiconductor Nanocrystals, in
`SEMICONDUCTOR AND METAL NANOCRYSTALS 1 (Victor I. Klimov
`ed., 2003)
`Nigel L. Pickett et al., Syntheses of Semiconductor Nanoparticles
`Using Single-Molecular Precursors, 1 CHEMICAL REC. 467 (2001)
`INTENTIONALLY OMITTED
`INTENTIONALLY OMITTED
`
`viii
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`1053
`1054
`1055
`1056
`
`1057
`
`1058
`
`1059
`
`1060
`
`1061
`
`1062
`1063
`1064
`1065
`1066
`
`1067
`
`U.S. Patent No. 7,056,471 to Han et al.
`U.S. Patent No. 7,588,828
`INTENTIONALLY OMITTED
`Olga I. Mićić et al., Core–Shell Quantum Dots of Lattice-Matched
`ZnCdSe2 Shells on InP Cores: Experiment and Theory, 104 J. OF
`PHYSICAL CHEMISTRY B 12149 (2000)
`Michael L. Steigerwald, Clusters as Small Solids, 13
`POLYHEDRON 1245 (1994)
`M.L. Steigerwald et al., Application of Phosphine Tellurides to
`the Preparation of Group II-VI (2-16) Semiconductor Materials, 7
`ORGANOMETALLICS 245 (1988)
`Uri Banin et al., Tunneling and Optical Spectroscopy of
`Semiconductor Nanocrystal Quantum Dots: Single-Particle and
`Ensemble Properties, in SEMICONDUCTOR AND METAL
`NANOCRYSTALS 327 (Victor I. Klimov ed., 2003)
`Arthur J. Nozik, et al., III-V Quantum Dots and Quantum Dot
`Arrays: Synthesis, Optical Properties, Photogenerated Carrier
`Dynamics, and Applications to Photon Conversion, in
`SEMICONDUCTOR AND METAL NANOCRYSTALS 327 (Victor I.
`Klimov ed., 2003)
`Yong Han et al., Synthesis and Characterization of Zinc
`Sulfide/Gallium Phosphide Nanocomposite Powders, 77 J. AM.
`CERAMICS SOC’Y 3153 (1994)
`INTENTIONALLY OMITTED
`INTENTIONALLY OMITTED
`U.S. Patent No. 6,864,626 to Weiss et al. (“Weiss”)
`U.S. Patent No. 7,147,712 to Zehnder et al. (“Zehnder ’712”)
`M. A. Olshavsky, Organometallic Synthesis of GaAs Crystallites
`Exhibiting Quantum Confinement, 112 J. AM. CHEM. SOC. 9438
`(1990)
`A. R. Kortan et al, Nucleation and Growth of CdSe on ZnS
`Quantum Crystallite Seeds, and Vice Versa, in Inverse Micelle
`Media, 112 J. AM. CHEM. SOC. 1327 (1990)
`
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`1068
`
`1069
`
`1070
`
`1071
`
`1072
`
`1073
`1074
`
`Holger Borchert et al., Investigation of ZnS Passivated InP
`Nanocrystals by XPS, 2 NANO LETTERS 151 (2002)
`Gregory A. Khitrov, Synthesis, Characterization and Formation
`Mechanisms of Inorganic Nanomaterials, University of California
`Santa Barbara (1993)
`Frederic V. Mikulec, Organometallic Synthesis and Spectroscopic
`Characterization of Manganese-Doped CdSe Nanocrystals, 122 J.
`AM. CHEM. SOC. 2532 (2000)
`Stephan Haubold, Strongly Luminescent InP/ZnS Core-Shell
`Nanoparticles, 2 CHEMPHYSCHEM 331 (2001)
`Huheey et al., INORGANIC CHEMISTRY: PRINCIPLES OF STRUCTURE
`AND REACTIVITY (4th ed. 1993)
`Linus Pauling, GENERAL CHEMISTRY (3d ed. revised 1988)
`Richard L. Wells et al., Tris(trimethylsilyl)arsine and Lithium
`Bis(trimethylsilyl)arsenide, 31 INORGANIC SYNTHESES 150 (Alan
`H. Cowley ed., 1997)
`
`
`
`x
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
`
`I.
`
`INTRODUCTION
`U.S. Patent No. 8,524,365 (“the ’365 patent”) is directed to a nanoparticle
`
`comprising a core semiconductor material disposed on a “molecular cluster
`
`compound” (or “MCC”). The ’365 patent contemplates that the core semiconductor
`
`material has at least one element not found within the MCC.
`
`But the claimed invention is unpatentable because nanoparticles containing a
`
`core semiconductor material disposed on a distinct MCC were well-known and
`
`obvious in the prior art. That is illustrated by the prior art relied upon in this Petition,
`
`none of which was before or considered by the Examiner during prosecution of the
`
`’365 patent.
`
`For the reasons discussed below, Samsung Electronics Co., Ltd. and Samsung
`
`Electronics America, Inc. (collectively, “Petitioner”) respectfully request that claims
`
`1–23 of the ’365 patent (the “Challenged Claims”) be found unpatentable.
`
`II. BACKGROUND OF THE ’365 PATENT
`A. Technology Overview
`1.
`Semiconductor Nanoparticles
`The ’365 patent relates to a nanoparticle. Ex. 1001, 20:8-21:18; Ex. 1002 ¶44.
`
`A nanoparticle is a compound having a dimension of 100 nanometers or less. Id.;
`
`Ex. 1035, 521A. Small nanoparticles comprised of semiconductors, ranging in size
`
`typically from 1 to 10 nanometers in all three dimensions, are known as nanocrystals
`
`or quantum dots (“QDs”). Ex. 1001, 1:21-25; Ex. 1002 ¶44; Ex. 1035, 521A. QDs
`
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`display intense colored light in response to an external stimulus. Ex. 1002 ¶45; Ex.
`
`1036, [0004]. By the end of 2003, “semiconductor quantum dots [we]re probably
`
`the most studied nanoscale system.” Ex. 1037, 6.
`
`2.
`
`The Size, Shape, And Composition Of Semiconductor
`Nanoparticles Dictate Their Light Emitting Properties
`Semiconductor nanoparticles are composed of atoms arranged in a crystal
`
`lattice structure, and contain carriers such as electrons. Ex. 1002 ¶46; Ex. 1037, 305.
`
`Every semiconductor nanoparticle has a “band gap,” which corresponds to the
`
`minimum amount of energy needed to excite a carrier such as an electron from the
`
`valence band (lower energy level) to the conduction band (higher energy level)
`
`within the nanoparticle. Ex. 1002 ¶46, Ex. 1037, 10, 21. The wavelength of light
`
`emitted by a semiconductor nanoparticle, which determines the color of the light
`
`observed from the photon emission, corresponds to its band gap energy, which is a
`
`function of nanoparticle size. Ex. 1002 ¶¶47-48; Ex. 1037, 89, 305; Ex. 1038, 214-
`
`15. Consequently, as shown in the figures below, nanoparticle size affects the color
`
`of emitted light. Ex. 1002 ¶48; Ex. 1039, 67.
`
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`
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`Ex. 1040, Fig. 3; Ex. 1041, 298. Nanoparticle optical properties (including color) are
`
`also affected by the composition and shape of the nanoparticle. Ex. 1002 ¶49;
`
`Ex. 1037, 89, 305-06; Ex. 1035, 525A; Ex. 1038, 214-15.
`
`3. Well-Known Methods of Synthesizing Nanoparticles
`Methods of making nanoparticles have been extensively studied, starting well
`
`before 2004, and were well known in the art. Ex. 1001, 2:63-67; Ex. 1002 ¶¶50-51;
`
`Ex. 1044 (early methods from 1947); Ex. 1045. As semiconductor nanoparticles
`
`were integrated into devices, interest grew in developing new methods of producing
`
`them on a large scale efficiently. Ex. 1002 ¶52. Wet chemical reactions (solution-
`
`based methods) became a widely explored avenue. Id. ¶52; Ex. 1037, 79-80.
`
`Generally, solution-based methods involve adding molecular feedstocks known as
`
`“precursors” to a solvent, which decomposes the precursor into its component
`
`atomic species (e.g., ions), then reacting the desired precursor ions to form a
`
`nanoparticle. Ex. 1037, 28. The initial reaction that starts arranging the precursor
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`ions into a patterned structure is called “nucleation.” Id., 28, 81, 209. Nucleation is
`
`followed by nanoparticle growth from the precursor ions. Id., 28, 82. Finally, the
`
`reaction is terminated, either when all the precursor ions are consumed or by
`
`manipulating a reaction condition (e.g., cooling the solution). Id., 28-29, 82.
`
`One prior art method for forming a nanoparticle involved reacting multiple
`
`precursors in solution. Ex. 1001, 3:1-3:18. For example, a 1993 reference taught
`
`synthesizing CdSe nanoparticles by rapidly injecting a solution of cadmium
`
`precursors and sulfur precursors into a hot solvent. Id.; Ex. 1046, 8707. A 1994
`
`reference taught synthesizing InP nanoparticles by mixing an indium precursor with
`
`a phosphorus precursor in a solvent and heating the solution for several days. Ex.
`
`1007. And a 2002 reference similarly taught that an indium precursor and an arsenic
`
`precursor could be combined in a solvent to form InAs nanoparticles. Ex. 1047,
`
`1027-28.
`
`Another prior art method for synthesizing a nanoparticle involved using a
`
`molecular seed. Ex. 1001, 4:33-50. A molecular seed is a small compound with a
`
`crystal structure, such as a MCC, that under certain reaction conditions can act as a
`
`nucleation point for ions in solution. Ex. 1002 ¶54. This seeding approach speeds up
`
`the nucleation process that triggers nanoparticle growth. Id. A 2002 reference taught
`
`heating a MCC in solution to create CdSe or ZnSe nanoparticles. Ex. 1045, 1578-
`
`79. The MCC was the sole precursor. Id., 1578. That reference describes the
`
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`mechanism for growing nanoparticles using MCCs: partially fragmenting the MCCs
`
`into component ions while maintaining their cluster-like core; depositing those ions
`
`on the surface of some of the cluster-like cores of the MCCs in solution; and using
`
`the crystalline structure of those MCC cores as a template or seed for nanoparticle
`
`growth. Id., 1584; Ex. 1001, 4:41-50. The “seeded-growth” approach using MCCs
`
`was known to allow faster reactions at lower temperatures to create well-defined
`
`nanoparticles of more uniform size than other methods. Ex. 1045, 1584; Ex. 1010,
`
`9198; Ex. 1002 ¶54.
`
`The prior art also describes methods blending the two synthesis routes
`
`discussed above by using molecular seeds, such as MCCs, to grow nanostructures
`
`from a separate precursor. For example, a 2001 reference taught using seeds such as
`
`the MCC Au101(PPh3)21Cl5 that “provide the nuclei for subsequent growth of metallic
`
`nanoparticles” from a separate bismuth-, tin-, or indium-based precursor. Ex. 1010,
`
`9198. It recognized that “[t]he seeds (nuclei) need not have the same composition as
`
`the material deposited upon them.” Id. Similarly, a 2002 reference taught solution-
`
`based growth of germanium (Ge) nanowires using gold (Au) nanocrystals as seeds.
`
`Ex. 1048, 1425. Specifically, it showed that reacting Ge-based precursors in a
`
`solution alongside Au nanocrystals resulted in “sea urchin Ge nanowire[s]”
`
`nucleated from and grown on the Au seeds. Id., 1425, 1429.
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`It was also well-known in the art that optimizing the solution-based reaction
`
`conditions, such as the reaction temperature or time, the concentration of the
`
`precursors, and the presence of stabilizers or other constituents, can dictate the
`
`nanoparticle size, yield, monodispersity, and quantum efficiency. Ex. 1001, 3:18-30;
`
`Ex. 1037, 203-04, 209-10; Ex. 1049, 5-6, 14-20; Ex. 1002 ¶56.
`
`B. Alleged Invention Of The ’365 Patent
`The ’365 patent issued on September 3, 2013, from U.S. Application No.
`
`13/267,532 (“the ’532 Application”). Ex. 1001, Cover. The ’365 patent claims
`
`priority to a foreign application filed on April 30, 2004.1 Id. The ’365 patent is titled
`
`“Preparation of Nanoparticle Materials,” and generally relates to “a method of
`
`producing nanoparticles” in which “conversion of a nanoparticle precursor
`
`composition to the material of the nanoparticles…is effected in the presence of a
`
`molecular cluster compound under conditions permitting seeding and growth of the
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`nanoparticles.” Id., Title, 4:51-61. The claims, however, are directed to the
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`nanoparticle itself. Id., claim 1.
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`1 For purposes of this IPR Petition only, Petitioner does not challenge the priority
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`date on the face of the ’365 patent, but reserves the right to do so in Nanoco
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`Technologies Ltd. v. Samsung Electronics Co., Ltd., No. 2:20-cv-00038 (E.D.
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`Tex.) (“the District Court case”).
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`The ’365 patent acknowledges it was well-known in the art to use multiple
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`precursors in solution to grow nanoparticles (id., 2:63-3:30), and to use molecular
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`cluster compounds to seed nanoparticle growth (id., 4:33-50). It thus describes the
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`known technique of depositing ions in solution on MCCs that act as seeds for
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`nanoparticle growth. Id., 4:33-50.
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`The ’365 patent describes its alleged invention as making nanoparticles by
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`combining one ion of a precursor with a different ion from a separate precursor “in
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`the presence of a molecular cluster compound” distinct from those precursors. Id.,
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`4:51-5:9. The only mechanism disclosed for growing nanoparticles using these three
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`chemical ingredients “is that each identical molecule of the cluster compound acts
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`as a seed or nucleation point upon which nanoparticle growth can be initiated,”
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`meaning “[t]he molecules of the cluster compound act as a template to direct
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`nanoparticle growth.” Id., 5:12-19. The ’365 patent contemplates using precursors
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`as the “molecular feedstock” that contributes ions that join to form the nanoparticle,
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`while using the MCCs as “templates” that seed nanoparticle growth from those ions.
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`Id., 7:48-59.
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`Figure 4A of the ’365 patent purports to depict an example of this alleged
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`method. That figure illustrates forming GaS nanoparticles from the precursors (1)
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`gallium(II)acetylacetonate (C15H21GaO6) and (2) tri-n-octylphosphine sulfide
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`(C24H51PS) alongside the MCC (or “seed”) (3) [tBuGaS]7. Id., 13:50-52, 14:1-5.
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`Id., Fig. 4A (annotated); Ex. 1002 ¶65.
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`The ’365 patent lists purported benefits of using MCCs to make nanoparticles,
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`but does not disclose a unique benefit to using multiple precursors alongside a
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`distinct MCC. See Ex. 1001, 5:28-37. For example, the ’365 patent states that the
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`MCCs provide “nucleation sites” for nanoparticle growth, and as a result,
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`nanoparticles made using this method “possess a significantly more well defined
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`final structure than those obtained using previous methods.” Id., 5:5-40. It also states
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`a purported advantage of its method “is that it can be more easily scaled-up for use
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`in industry than current methods.” Id., 5:34-37. But the ’365 patent only connects
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`those purported advantages to the use of MCCs, and not to combining the established
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`multiple-precursor approach with the familiar MCC/seeded-growth approach. Id.,
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`5:5-40.
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`The ’365 patent further describes that the alleged inventive method produces
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`“compound semiconductor particles otherwise referred to as quantum dots or
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`nanocrystals” that have a “core material comprising” elements from, among others,
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`groups 12 and 16 or 13 and 15 of the periodic table, including InAs and InP core
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`semiconductor material. Id., 7:61-8:47. It also describes “ternary phase
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`nanoparticle[s]” that contain “a three component material” and “quaternary phase
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`nanoparticle[s]” that contain “a four-component material.” Id., 8:54-67. The ’365
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`patent contemplates a “shell or subsequent numbers of shells grown onto the core
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`particle” that “can include material comprising” elements of groups 12 and 16 or 13
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`and 15 of the periodic table, such as InAs and InP, as well as ternary or quaternary
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`materials. Id., 9:7-67. Finally, the ’365 patent describes “the use of molecular
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`clusters” that can consist of, among other things, group 12 and 16 elements such as
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`Zn and O. Id., 11:45-12:50.
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`Independent claim 1 recites:
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`1. A nanoparticle comprising
`a molecular cluster compound and
`a core semiconductor material disposed on the molecular cluster compound,
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`Petition for Inter Partes Review of U.S. Patent No. 8,524,365
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`wherein the semiconductor material comprises one or more elements not
`comprised within the molecular cluster compound.
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`C.
`Prosecution History Of The ’365 Patent
`The ’532 Application was filed on October 6, 2011, with 36 claims. Ex. 1004,
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`22-88. Original claim 1 recited “[a] nanoparticle comprising a molecular cluster
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`compound and a core semiconductor material on the molecular cluster compound.”
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`Id., 66.
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`On March 28, 2012, the Examiner rejected all pending claims. Id., 96-97.
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`Among other rejections, the Examiner found all but three original claims were
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`anticipated by a paper titled “Inorganic Clusters as Single-Source Precursors for
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`Preparation of CdSe, ZnSe, and CdSe/ZnS Nanomaterials” (“Cumberland”), a paper
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`titled “Hunting for a Single-Source Precursor: Toward Stoichiometry Controlled
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`CVD of 13-15 Composites” (“Timoshkin”), and/or by U.S. Patent Pub. No.
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`2003/0017264 (“Treadway”). Id., 102-20. The Examiner explained Cumberland
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`teaches “a nanoparticle that is comprised of a [MCC]…[and] a core semiconductor
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`material…on the [MCC],” and also teaches a nanoparticle having a ZnS shell
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`material containing a group 12 element (Zn) formed on a CdSe core. Id., 102-05.
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`The Examiner explained Timoshkin also teaches a nanoparticle containing a core
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`semiconductor material “formed and/or grown on” a MCC. Id., 105. The Examiner
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`stated Treadway, while not explicitly teaching a nanoparticle comprising a MCC,
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`Petition for Inter Partes