12.08.2013 Views

sale overview document - Green Patent Blog

sale overview document - Green Patent Blog

sale overview document - Green Patent Blog

SHOW MORE
SHOW LESS

Create successful ePaper yourself

Turn your PDF publications into a flip-book with our unique Google optimized e-Paper software.

1<br />

Rob Aronoff<br />

rob@pluritas.com<br />

(415) 963-3790 ext. 101<br />

Copyright ©2013 Pluritas, LLC.<br />

<strong>Patent</strong> Portfolio Overview<br />

Illumitex<br />

LED Extraction Efficiency & Chip Shaping Technology<br />

Mitch Rosenfeld<br />

mitch@pluritas.com<br />

(415) 963-3790 ext. 103<br />

Myron Kassaraba<br />

myron@pluritas.com<br />

(415) 963-3790 ext. 104<br />

201 California Street, Suite 650, San Francisco, California 94111


2<br />

Opportunity Overview<br />

Illumitex was founded in 2005 by imaging and optics industry<br />

veterans.<br />

The Company’s current business is vibrant and focused on LED total<br />

solutions including fixtures and optics. The IP being offered for <strong>sale</strong> is<br />

being divested since LED chip manufacturing is a business that is no<br />

longer being pursued.<br />

The Illumitex chip-level IP incorporates fundamental physics<br />

principles to maximize light extraction from the source. By extracting<br />

and directing photons at the die level, Illumitex delivers more usable<br />

light to the intended target while consuming less energy.<br />

This <strong>sale</strong> represents a unique opportunity for a strategic buyer to<br />

acquire lab-tested technology with very solid patent protection in a<br />

critical area of the rapidly growing LED market.<br />

Copyright ©2013 Pluritas, LLC.


3<br />

Portfolio Summary<br />

Illumitex Assets For Sale<br />

• 6 issued US patents<br />

• 1 US provisional application<br />

• 5 patent families total<br />

• Foreign equivalents from Europe, China,<br />

Japan, Taiwan, and South Korea<br />

• Forward References from:<br />

• Hon Hai Precision Industry Co.,<br />

Ltd.<br />

• Osram Opto Semiconductors<br />

• Samsung Electronics<br />

• No encumbrances<br />

Market Application and Strategic Opportunity<br />

Copyright ©2013 Pluritas, LLC.<br />

<strong>Patent</strong> Portfolio Details<br />

• US 7,789,531 (Priority: 10/2/2006)<br />

• US 7,829,358 (Priority: 2/8/2008)<br />

• US 8,087,960 (Priority: 10/2/2006)<br />

• US 8,115,217 (Priority: 12/11/2008)<br />

• US 8,217,399 (Priority: 8/1/2008)<br />

• US 8,263,993 (Priority: 2/8/2008)<br />

• US 61/587,552 (Provisional)<br />

• Foreign equivalents<br />

• The worldwide LED chips market is expected to reach $8.5 billion by 2014<br />

(http://www.marketsandmarkets.com/Market-Reports/led-chips-229.html)<br />

• Leading exemplary vendors: Nichia, Samsung, Osram, LG, Seoul Opto, Cree, Philips/Lumileds, Sharp,<br />

Toyoda Gosei, Everlight, GE, Micron, BridgeLux, SemiLEDs, Epistar, 3M, Rambus,<br />

Panasonic/Matsushita, TSMC, Rohm & Haas, Showa Denko, Toshiba, etc.<br />

(Representative market participants. Not an opinion, claim, or representation as to infringement.)


4<br />

Sorted by <strong>Patent</strong> Family (1 of 2)<br />

Pat/Pub<br />

Number<br />

Copyright ©2013 Pluritas, LLC.<br />

<strong>Patent</strong><br />

Family<br />

US 7,829,358 A<br />

US 8,263,993 A<br />

US 61/587,552<br />

(Provisional)<br />

B<br />

US 7,789,531 C<br />

US 8,087,960 C<br />

Illumitex’s IP Portfolio<br />

Tech Cluster Title<br />

LED Emitter<br />

Layer Shaping<br />

LED Emitter<br />

Layer Shaping<br />

LED Micro‐<br />

Mirrors<br />

LED Substrate<br />

Shaping (Exit<br />

Face &<br />

Sidewalls)<br />

LED Substrate<br />

Shaping (Exit<br />

Face &<br />

Sidewalls)<br />

System and method for emitter layer<br />

shaping<br />

System and method for emitter layer<br />

shaping<br />

Hybrid mirror for higher extraction<br />

efficiency from bottom‐emitting LEDs<br />

Priority<br />

Date<br />

2/8/2008<br />

2/8/2008<br />

LED system and method 10/2/2006<br />

LED system and method 10/2/2006<br />

US <strong>Patent</strong><br />

Family<br />

Members<br />

US 8,263,993<br />

(Divisional)<br />

US 7,829,358<br />

(Parent)<br />

Ex‐US<br />

<strong>Patent</strong><br />

Family<br />

Members<br />

EP2240968A1<br />

WO2009100358A1<br />

KR2010122485A<br />

CN101939849A<br />

TW200941773A<br />

JP2011512037A<br />

See ‘358 <strong>Patent</strong><br />

1/17/2012 None None<br />

US 8,087,960<br />

US20090275266A1<br />

(Abandoned)<br />

US20090275157A1<br />

(Abandoned)<br />

US 7,789,531<br />

US20090275266A1<br />

(Abandoned)<br />

US20090275157A1<br />

(Abandoned)<br />

EP2070123A2<br />

WO2009158573A1<br />

WO2009158574A1<br />

WO2008042351B1<br />

KR2009064474A<br />

CN101553928B<br />

TW201009921A<br />

TW201007993A<br />

TW200824161A<br />

JP2010506402A<br />

See ‘531 <strong>Patent</strong>


5<br />

Sorted by <strong>Patent</strong> Family (2 of 2)<br />

Pat/Pub<br />

Number<br />

Copyright ©2013 Pluritas, LLC.<br />

<strong>Patent</strong><br />

Family<br />

US 8,115,217 D LED Packaging<br />

US 8,217,399 E<br />

Illumitex’s IP Portfolio<br />

Tech Cluster Title<br />

LED Emitter &<br />

Submount<br />

Structure<br />

Photon<br />

Tunneling<br />

Systems and methods for packaging<br />

light‐emitting diode devices<br />

Photon tunneling light emitting diodes<br />

and methods<br />

Priority<br />

Date<br />

US <strong>Patent</strong><br />

Family<br />

Members<br />

12/11/2008 None<br />

8/1/2008 None<br />

Ex‐US<br />

<strong>Patent</strong><br />

Family<br />

Members<br />

WO2010068886A1<br />

TW201034256A<br />

EP2351111A1<br />

WO2010014610A1<br />

KR2011049843A<br />

CN102150285A<br />

TW201013994A<br />

JP2011530173A


6<br />

Comprehensive IP<br />

Illumitex’s IP includes proprietary technology covering different parts<br />

of an LED:<br />

<strong>Patent</strong><br />

Family D –<br />

LED<br />

Packaging:<br />

US 8,115,217<br />

Image Source:<br />

Illumitex, Fig. 4 of US 8,115,217.<br />

Copyright ©2013 Pluritas, LLC.<br />

Submount<br />

Sapphire or SiC<br />

GaN<br />

<strong>Patent</strong><br />

Family B –<br />

LED Micro-<br />

Mirrors:<br />

US Prov.<br />

61/587,552<br />

Flip-Chip LED<br />

Image Source: Illumitex.<br />

<strong>Patent</strong><br />

Family E –<br />

LED Emitter<br />

& Submount<br />

Structure<br />

Photon<br />

Tunneling:<br />

US 8,217,399<br />

<strong>Patent</strong><br />

Family C –<br />

LED<br />

Substrate<br />

Shaping (Exit<br />

Face &<br />

Sidewalls):<br />

US 7,789,531<br />

US 8,087,960<br />

<strong>Patent</strong><br />

Family A –<br />

LED Emitter<br />

Layer<br />

Shaping:<br />

US 7,829,358<br />

US 8,263,993


7<br />

Technology Overview<br />

• Light extraction from an LED chip depends on:<br />

• Minimizing the number of reflections (N) in the LED structure<br />

• Maximizing reflectivity of all surfaces<br />

• Minimizing absorption losses of all materials<br />

• Rough estimate of Losses:<br />

• Optimized structures does<br />

all of this:<br />

• Sidewall TIR:<br />

R = 100%<br />

• Sidewall shape<br />

directs light into<br />

escape cone: N = 1<br />

Copyright ©2013 Pluritas, LLC.<br />

Absorption Losses Compound!<br />

# Reflections<br />

Absorption 1<br />

R<br />

<br />

All rays strike exit<br />

face and exit!<br />

light<br />

LED<br />

Emitter<br />

Lossless<br />

reflection at<br />

sidewalls


8<br />

LED Emitter Layer Shaping<br />

US 7,829,358 & US 8,263,993<br />

LED Emitter Layer Shaping (<strong>Patent</strong> Family A)<br />

Shaped emitters achieve highest possible light extraction efficiencies<br />

(LEE)<br />

• Minimize internal reflections<br />

• Control beam shape into substrate<br />

or encapsulant<br />

Key Achievements<br />

• Light extraction improvements up to<br />

50% demonstrated<br />

• Fabrication process developed<br />

• Performance matches advanced<br />

optical modeling<br />

• Comparable test data from<br />

prototype test wafers available<br />

Copyright ©2013 Pluritas, LLC.


9<br />

LED Micro-Mirrors<br />

US Prov. 61/587,552<br />

LED Micro-Mirrors (<strong>Patent</strong> Family B)<br />

Replace conventional Ag mirror with combination of Ag & dielectric<br />

mirrors<br />

• Higher reflectivity = higher extraction<br />

efficiency<br />

Key Achievements<br />

• Dielectric stacks can give 99+% reflectance<br />

• Potential add-on process to improve conventional vertical or flipchip<br />

device designs<br />

• Demonstrated 10-15% higher extraction efficiency than PSS<br />

• Production-ready<br />

• Comparative performance data available<br />

Copyright ©2013 Pluritas, LLC.<br />

Absorption Losses Compound!<br />

# Reflections<br />

Absorption 1<br />

R<br />

Ag<br />

pCon.<br />

TiO2<br />

SiO2<br />

<br />

P‐GaN<br />

MQW‐active<br />

n‐GaN<br />

nContact


10<br />

LED Substrate Shaping<br />

(Exit Face & Sidewalls)<br />

US 7,789,531 & US 8,087,960<br />

LED Substrate Shaping (<strong>Patent</strong> Family C)<br />

Shaped substrates achieve greater<br />

efficiency than previous LEDs<br />

• The height of the substrate can be selected<br />

to limit the critical angle of rays incident<br />

on the exit surface<br />

• The exit face has at least 70% of a<br />

minimum area needed to conserve<br />

radiance for a desired half-angle of light<br />

projected from the shaped substrate<br />

Key Achievements<br />

• Theoretical efficiency of up to 89% (89% of the light entering the<br />

substrate is emitted in the desired half-angle with 11% Fresnel loss)<br />

Copyright ©2013 Pluritas, LLC.


11<br />

LED Packaging<br />

US 8,115,217<br />

LED Packaging (<strong>Patent</strong> Family D)<br />

Improved LED Packaging of <strong>Patent</strong><br />

Family C achieves overall brightness<br />

• The size of a packaged LED defines<br />

the LED’s brightness (lumens)<br />

• A phospor plate is on top or within<br />

the housing<br />

• The rays of light exit the exit face<br />

with negligible side emission<br />

through the side walls of the<br />

substrate<br />

Key Achievements<br />

• LED does not need secondary<br />

optics<br />

Copyright ©2013 Pluritas, LLC.


12<br />

LED Emitter & Submount<br />

Structure Photon Tunneling<br />

US 8,217,399<br />

Photon Tunneling (<strong>Patent</strong> Family E)<br />

Photon Tunneling increases light that makes it into air<br />

• Photons do not become trapped in the substrate<br />

• The LED layer structure has a thickness that is less than the<br />

wavelength of the light produced<br />

Key Achievements<br />

• Geometric modification<br />

of the GaN and/or<br />

substrate is not needed<br />

to extract light<br />

Copyright ©2013 Pluritas, LLC.


13<br />

Illumitex In The News<br />

Copyright ©2013 Pluritas, LLC.<br />

Sources (left to right):<br />

http://www.illumitex.com/news/news-illumitex-announces-new-ceo-and-funding/;<br />

http://ledsmagazine.com/press/33543;<br />

http://www.photonics.com/Article.aspx?AID=48616.


14<br />

Applicable Market<br />

Representative Market Participants 1<br />

1 Representative market participants. Not an opinion, claim, or representation as to infringement.<br />

Copyright ©2013 Pluritas, LLC.


15<br />

Market Trends<br />

Illumitex IP Applies to Two Large<br />

Related Growing Markets<br />

• Packaged LED Market: The worldwide packaged LED<br />

market (does not include LED chips) grew nearly 10% from<br />

$11 billion in 2010 to $12.5 billion in 2011 (the packaged<br />

LED market sorted by commercial application is shown on the<br />

immediate right)<br />

• Chip LED Market: The worldwide LED chips market was<br />

roughly $3 billion in 2009 and is estimated to grow to $8.5<br />

billion by 2014 (see lower right) – this is the applicable<br />

market for Illumitex’s IP<br />

Copyright ©2013 Pluritas, LLC.<br />

$9,000<br />

$8,000<br />

$7,000<br />

$6,000<br />

$5,000<br />

$4,000<br />

$3,000<br />

$2,000<br />

$1,000<br />

Source: LEDs Magazine, http://ledsmagazine.com/features/9/3/2 and<br />

http://www.marketsandmarkets.com/Market-Reports/led-chips-229.html<br />

$‐<br />

Worldwide Chip LED Market (in $ mil)<br />

2009 2010 2011 2012 2013 2014


16<br />

<strong>Patent</strong> Landscape Analysis<br />

The following four slides represent analysis performed on patents in<br />

the LED technology space to illustrate the relationship of the Illumitex<br />

IP to those of major market participants.<br />

Methodology<br />

• Pluritas first performed keyword and semantic searches to identify<br />

top relevant vendors within the Illumitex IP space as illustrated in<br />

Slide 17.<br />

• Pluritas then worked with IP Checkups, a research firm that<br />

provides technical analysis, to graphically map the patent<br />

landscape of top vendors by tech area as illustrated in Slide 18.<br />

• Next, by accessing IP Checkups’ LED database, Pluritas identified<br />

the vendors with “gaps” as illustrated in Slide 19 – as these<br />

companies could find this Illumitex IP useful in enhancing their<br />

patent portfolios.<br />

Copyright ©2013 Pluritas, LLC.


17<br />

<strong>Patent</strong> Landscape<br />

Leading LED Vendors 1<br />

• Pluritas performed keyword and semantic searches to identify top vendors with patents relevant to Illumitex’s IP.<br />

Using this data and collaborating with IP Checkups, the following pie chart was built illustrating the leading patent<br />

holders:<br />

Copyright ©2013 Pluritas, LLC.<br />

1 Representative market participants. Not an opinion, claim, or<br />

representation as to infringement.<br />

Efficient LED Technology: <strong>Patent</strong> Landscape (United States)<br />

Showa Denko<br />

5%<br />

Seoul Opto<br />

3%<br />

SemiLEDs<br />

1%<br />

Sharp<br />

10%<br />

Toshiba<br />

10%<br />

Samsung<br />

11%<br />

Toyoda<br />

Gosei<br />

5%<br />

Rohm & Haas<br />

4%<br />

3M Acuity<br />

1% 0%<br />

Cree<br />

6%<br />

Philips/Lumileds<br />

9%<br />

BridgeLux<br />

1%<br />

Epistar<br />

2%<br />

Panasonic<br />

11%<br />

GE<br />

2%<br />

LG<br />

8%<br />

Nichia<br />

4%<br />

Osram<br />

5%<br />

Everlight<br />

1%<br />

Goldeneye<br />

0%<br />

Source: 7,494 patents from IP Checkups’ LED Database.<br />

Illumitex<br />

3M<br />

Acuity<br />

BridgeLux<br />

Cree<br />

Epistar<br />

Everlight<br />

GE<br />

Goldeneye<br />

LG<br />

Nichia<br />

Osram<br />

Panasonic<br />

Philips/Lumileds<br />

Rohm & Haas<br />

Samsung<br />

SemiLEDs<br />

Sharp<br />

Seoul Opto<br />

Showa Denko<br />

Toshiba<br />

Toyoda Gosei


18<br />

<strong>Patent</strong> Landscape<br />

Tech Breakdown 1<br />

• The LED IP landscape for 10 Assignees is mapped by tech area below. Philips/Lumileds and LG have IP similar to the<br />

‘993, ‘358, ‘960, and ‘531 Illumitex patents. Cree, LG, and Panasonic have IP similar to the ‘217 and ‘399 Illumitex patents.<br />

<strong>Patent</strong> Family A<br />

US 8,263,993<br />

US 7,829,358<br />

Copyright ©2013 Pluritas, LLC.<br />

1 Representative market participants. Not an opinion, claim, or representation as to infringement.<br />

<strong>Patent</strong> Family C<br />

US 8,087,960<br />

US 7,789,531<br />

<strong>Patent</strong> Family D<br />

US 8,115,217<br />

Note: In the patent map, patents (dots) are clustered based on<br />

thematic similarity. Dense areas of similar patents, are represented<br />

as snow-capped peaks, while relatively sparse areas are represented<br />

as blue lakes or oceans. The absolute positioning of each peak and<br />

valley is not important, only relative location – the closer together<br />

the peaks are located on the map, the more closely the<br />

corresponding patents are related.<br />

Source: IP Checkups’ LED Database.<br />

<strong>Patent</strong> Family E<br />

US 8,217,399


19<br />

<strong>Patent</strong> Landscape<br />

Tech Breakdown 1<br />

• The table below illustrates Illumitex’s IP alongside the leading LED vendors (sorted by tech area). Cells<br />

highlighted in yellow indicate areas where vendors have fewer than 20 patents in a relevant Illumitex tech area.<br />

For example, Nichia, Sharp, Toyoda Gosei, Everlight, GE, Acuity, BridgeLux, SemiLEDs, Epistar, 3M, Goldeneye,<br />

and Rohm & Haas fewer patents than their competitors in areas relevant to the Illumitex patents.<br />

Within LED Space ‐ From IP Checkups (<strong>Patent</strong>Cam) Pats Pubs Pats Pubs Pats Pubs Pats Pubs<br />

Company US Pats US Pubs Total<br />

Illumitex 6 3 9 1 0 1 0 4 0 3 0<br />

Nichia 286 217 503 22 2 12 14 161 121 80 51<br />

Samsung 1564 1682 3246 119 76 242 191 209 312 283 398<br />

Osram 550 508 1058 124 89 34 39 176 203 58 42<br />

LG 925 499 1424 197 44 143 43 109 80 154 67<br />

Seoul Opto 158 317 475 31 28 32 34 68 151 58 103<br />

Cree 133 385 518 53 53 34 35 243 186 137 65<br />

Philips/Lumileds 975 1114 2089 156 147 49 62 292 204 179 143<br />

Sharp 810 527 1337 31 55 20 53 444 188 263 142<br />

Toyoda Gosei 335 243 578 29 19 2 8 238 160 139 87<br />

Everlight 61 89 150 24 11 15 8 5 9 7 15<br />

GE 296 235 531 52 37 13 18 58 46 34 37<br />

Acuity 4 2 6 2 1 0 0 0 0 0 0<br />

BridgeLux 73 80 153 16 20 15 14 25 18 20 10<br />

SemiLEDs 31 10 41 3 1 0 3 20 5 25 8<br />

Epistar 130 99 229 8 4 17 8 75 77 63 43<br />

3M 183 165 348 30 8 16 11 39 42 12 17<br />

Goldeneye 23 31 54 2 2 4 0 12 23 6 11<br />

Panasonic/Matsushita 970 570 1540 128 56 52 50 470 247 200 120<br />

Rohm & Haas 342 321 663 36 34 12 15 148 135 122 86<br />

Showa Denko 200 248 448 55 64 21 11 152 192 132 159<br />

Toshiba 754 619 1373 151 93 51 69 339 247 177 158<br />

Total 8809 7964 16773<br />

Copyright ©2013 Pluritas, LLC.<br />

Solid State Lighting ‐><br />

Fixtures<br />

1 Representative market participants. Not an opinion, claim, or<br />

representation as to infringement.<br />

Solid State Lighting ‐> LED<br />

Control ‐> Power<br />

Management ‐> Distribution<br />

Solid State Lighting ‐> LED<br />

Technology ‐> Chemistry &<br />

Materials ‐> Epitaxy<br />

Source: 8,809 patents and 7,964 applications from IP Checkups’ LED Database.<br />

Solid State Lighting ‐> LED<br />

Technology ‐> Chemistry &<br />

Materials ‐> Substrates


20<br />

<strong>Patent</strong> Landscape Conclusion<br />

Conclusion 1<br />

• Philips/Lumileds and LG have IP similar to Illumitex <strong>Patent</strong> Families<br />

“A” and “C”.<br />

• Cree, LG, and Panasonic have IP similar to the Illumitex <strong>Patent</strong><br />

Familities “D” and “E”.<br />

• Nichia, Sharp, Toyoda Gosei, Everlight, GE, Acuity, BridgeLux,<br />

SemiLEDs, Epistar, 3M, Goldeneye, and Rohm & Haas fewer<br />

patents than their competitors in areas relevant to the Illumitex<br />

patents.<br />

Copyright ©2013 Pluritas, LLC.<br />

1 Representative market participants. Not an opinion, claim, or<br />

representation as to infringement.


21<br />

Transaction Parameters and Objectives<br />

• Illumitex is seeking the <strong>sale</strong> of these assets<br />

• No Encumbrances<br />

• Seller requires a Grant Back license<br />

• The identity of all inquiries and bidders is confidential except as modified<br />

by a transaction between the parties<br />

Copyright ©2013 Pluritas, LLC.


22<br />

Diligence Resources Available<br />

• Technical and IP Diligence calls are available with<br />

Pluritas experts who have completed reviews of the IP<br />

assets and are knowledgeable about the markets to<br />

which they apply<br />

Copyright ©2013 Pluritas, LLC.


23<br />

For More Information<br />

• For more information and/or execution<br />

of an inquiry- and identity-protecting<br />

NDA, please contact:<br />

Rob Aronoff<br />

Managing Partner<br />

rob@pluritas.com<br />

(415) 963-3790 x101<br />

Copyright ©2013 Pluritas, LLC.<br />

Mitch Rosenfeld<br />

Partner<br />

mitch@pluritas.com<br />

(415) 963-3790 x103<br />

Myron Kassaraba<br />

Partner<br />

myron@pluritas.com<br />

(415) 963-3790 x104<br />

Craig Carothers<br />

General Counsel<br />

craig@pluritas.com<br />

(415) 963-3790 x102


24<br />

Pluritas Profile<br />

Pluritas is a transaction advisory firm specializing in divestitures,<br />

acquisitions, and mergers where Intellectual Property (IP) is a<br />

major component of the transaction.<br />

We provide arms-length sell side transaction services to all<br />

owners of IP assets. We provide arms-length buy side<br />

transaction services to a select group of Corporate Clients.<br />

We expertly navigate the risks and nuances for all parties<br />

involved with transacting IP, yielding a 'safer' and more<br />

comfortable transaction climate for all participants.<br />

We also strongly differentiate ourselves by our track record<br />

of success, as well as by integrating seasoned professionals<br />

with deep industry, technical and IP expertise into every<br />

engagement.<br />

Copyright ©2013 Pluritas, LLC.


25<br />

NOTICE<br />

THIS PRESENTATION DOES NOT CONSTITUTE AN OFFER FOR SALE OF<br />

ASSETS OR SECURITIES FOR ILLUMITEX OR AN OFFER FOR, OR<br />

SOLICITATION OF, A LICENSE OF ANY KIND. IN MAKING A DECISION<br />

REGARDING THE ILLUMITEX OPPORTUNITY, POTENTIAL PURCHASERS<br />

MUST RELY ON THEIR OWN EXAMINATION OF THE INTELLECTUAL<br />

PROPERTY RIGHTS AND OTHER ASSETS INCLUDING BUT NOT LIMITED TO<br />

THE TITLE, VALUE, MERITS AND RISKS INVOLVED. THERE IS NO<br />

ASSURANCE THAT THESE INTELLECTUAL PROPERTY RIGHTS WILL BE<br />

UPHELD. PLURITAS MAKES NO REPRESENTATION CONCERNING THE<br />

VALIDITY OF THE INTELLECTUAL PROPERTY HEREIN. ADDITIONALLY,<br />

THESE MATERIALS ARE SOLELY ATTRIBUTABLE TO PLURITAS AND DO<br />

NOT NECESSARILY REPRESENT THE VIEWS OR OPINIONS OF ILLUMITEX.<br />

NOTHING IN THIS DOCUMENT SHALL CONSTITUTE OR BE INTERPRETED AS<br />

LEGAL ANALYSIS REGARDING THE SCOPE OF THE PATENTS OR OTHER<br />

INTELLECTUAL PROPERTY RIGHTS. SIMILARLY, NOTHING INCLUDED IN<br />

THIS DOCUMENT SHALL BE USED TO INTERPRET, DEFINE, OR OTHERWISE<br />

LIMIT THE SCOPE AFFORDED THE ASSOCIATED INTELLECTUAL PROPERTY<br />

RIGHTS.<br />

Copyright ©2013 Pluritas, LLC.


26<br />

Copyright ©2013 Pluritas, LLC.<br />

Appendix: Exemplary Claims


27<br />

U.S. <strong>Patent</strong> No. 7,789,531 – Representative Claim<br />

‘531 <strong>Patent</strong>, Claim 1<br />

Copyright ©2013 Pluritas, LLC.<br />

Representative Claim<br />

An LED comprising:<br />

a quantum well region operable to generate light; and<br />

a shaped substrate having an interface to receive light generated by the quantum well region,<br />

wherein light generated by the quantum well region traverses the interface, the shaped<br />

substrate comprising:<br />

an exit face opposite from and a distance from the interface, wherein the substrate is<br />

shaped so that a portion of the light entering the shaped substrate through the interface will<br />

exit the shaped substrate through the exit face and wherein the exit face has at least 70% of<br />

a minimum area necessary to conserve radiance for a desired half-angle of light projected<br />

from the shaped substrate; and<br />

a set of sidewalls, wherein each sidewall is positioned and shaped so that at least a<br />

majority of rays having a straight transmission path from the interface to that sidewall can<br />

reflect through total internal reflection to the exit face with an angle of incidence at the exit<br />

face at less than or equal to a critical angle at the exit face.


28<br />

U.S. <strong>Patent</strong> No. 7,829,358 – Representative Claim<br />

’358 <strong>Patent</strong>, Claim 1<br />

Copyright ©2013 Pluritas, LLC.<br />

Representative Claim<br />

A method of shaping an emitter layer of the LED, comprising:<br />

determining an exit area (b) and an emitter area (a) of a miniature emitter, wherein the exit<br />

area (b) has an exit face in a first geometric configuration and wherein the emitter area (a)<br />

has a quantum well region in a second geometric configuration;<br />

determining a minimum height (h) of the miniature emitter utilizing the exit area (b) and the<br />

emitter area (a);<br />

removing matter from an emitting material or growing the emitting material according to the<br />

first geometric configuration, the second geometric configuration, and the minimum height (h)<br />

to form a shaped portion having one or more miniature emitters meeting the minimum height<br />

(h); and<br />

shaping sidewalls of the miniature emitters, wherein each sidewall is positioned and shaped to<br />

cause at least a majority of rays having a straight transmission path from the emitter area to<br />

that sidewall to reflect to the exit face with an angle of incidence at the exit face at less than<br />

or equal to a critical angle at the exit face.


29<br />

U.S. <strong>Patent</strong> No. 8,087,960 – Representative Claim<br />

’960 <strong>Patent</strong>, Claim 11<br />

Copyright ©2013 Pluritas, LLC.<br />

Representative Claim<br />

A method of shaping an LED comprising:<br />

providing a wafer comprising a substrate and one or more layers for a quantum well region of the LED;<br />

grinding the substrate to form a shaped substrate portion of the LED;<br />

wherein the shaped substrate portion is shaped to comprise:<br />

an exit face opposite from and a distance from an interface with the to receive light generated by a quantum well<br />

region of the LED, the exit face having a size being at least 70% of a minimum area necessary to conserve radiance<br />

for a desired half-angle of light projected from the shaped substrate; and<br />

a set of sidewalls, wherein each sidewall is positioned and shaped so that at least a majority of rays having a<br />

straight transmission path from the interface to that sidewall reflect through total internal reflection to the exit face<br />

with an angle of incidence at the exit face of less than or equal to a critical angle at the exit face; wherein the method<br />

is performed by performing steps in the order of:<br />

(a) determining boundary conditions for the shaped substrate portion of the LED, wherein the boundary conditions<br />

comprise the size of the exit face of the shaped substrate portion of the LED and the distance between the exit face<br />

and the interface between the shaped substrate portion and the quantum well region of the LED;<br />

(b) determining the shapes and positions of the set of sidewalls of the shaped substrate portion of the LED; and<br />

(c) shaping the shaped substrate portion of the LED.


30<br />

U.S. <strong>Patent</strong> No. 8,115,217 – Representative Claim<br />

‘217 <strong>Patent</strong>, Claim 1<br />

Copyright ©2013 Pluritas, LLC.<br />

Representative Claim<br />

A packaged light-emitting diode (LED) device, comprising:<br />

a housing having a cavity;<br />

a phosphor plate on top or within the housing;<br />

a submount attached to the housing, wherein the submount comprises metal traces,<br />

vias, or a combination thereof; and<br />

at least one LED chip residing in the cavity of the housing between the phosphor plate<br />

and the submount and comprising a substrate and a light emitting region, wherein the<br />

substrate comprises a side wall and an exit face on top of the side wall, wherein all or<br />

substantially all rays of light emitting from the light emitting region exit the exit face with<br />

negligible or substantially negligible side emission through the side wall of the<br />

substrate, and wherein the light emitting region is connected to the metal traces of the<br />

submount inside the housing through an electrically conductive contact area.


31<br />

U.S. <strong>Patent</strong> No. 8,217,399 – Representative Claim<br />

’399 <strong>Patent</strong>, Claim 1<br />

Copyright ©2013 Pluritas, LLC.<br />

Representative Claim<br />

A light-emitting diode (LED) device comprising:<br />

an LED layer structure comprising a quantum well layer adapted to generate light having<br />

a wavelength, a p-doped alloy layer on a first side of the quantum well layer, an ndoped<br />

alloy layer on a second side of the quantum well layer obverse from the first side<br />

and between the quantum well layer and a medium;<br />

an electrode electrically connected to the p-doped alloy layer; and<br />

an electrode electrically connected to the n-doped alloy layer;<br />

wherein the combined thickness of the LED layer structure on the second side of the<br />

quantum well layer including the n-doped alloy layer is thinner than the wavelength of<br />

light that the quantum well layer is adapted to generate to allow light generated by the<br />

quantum well layer to photon tunnel to the medium.


32<br />

U.S. <strong>Patent</strong> No. 8,263,993 – Representative Claim<br />

’993 <strong>Patent</strong>, Claim 1<br />

Copyright ©2013 Pluritas, LLC.<br />

Representative Claim<br />

An LED, comprising:<br />

a base substrate; and<br />

an emitter layer on a surface of the substrate configured to emit light in an emission half angle,<br />

wherein the emitter layer has a shaped portion comprising:<br />

an emitter area;<br />

an exit area a height from the emitter area;<br />

sidewalls running from the emitter area to the exit area, wherein each of the sidewalls comprises<br />

a plurality of areas at different angles relative to the emitter area and wherein each sidewall is<br />

positioned and shaped to cause at least a majority of rays having a straight transmission path from<br />

the emitter area to that sidewall to reflect to the exit area with an angle of incidence at the exit area<br />

at less than or equal to a critical angle at an emitter layer to substrate boundary; and<br />

wherein the size of the exit area and shapes of the sidewalls are configured so that at least 60%<br />

of the light generated in the emitter layer exits the emitter layer into the substrate in the emission<br />

half angle.

Hooray! Your file is uploaded and ready to be published.

Saved successfully!

Ooh no, something went wrong!