UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD. MasterImage 3D, Inc. and MasterImage 3D Asia, LLC Petitioner,

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1 UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD MasterImage 3D, Inc. and MasterImage 3D Asia, LLC Petitioner, v. RealD, Inc. Patent Owner. Issue Date: December 28, 2010 Title: Combining P And S Rays For Bright Stereoscopic Projection PETITION FOR INTER PARTES REVIEW OF U.S. PATENT 7,857,455 UNDER 35 U.S.C AND 37 C.F.R ET SEQ.

2 TABLE OF CONTENTS Page TABLE OF EXHIBITS... iv I. MANDATORY NOTICES UNDER 37 C.F.R. 42.8(a)(1)... 1 A. Real Parties-In-Interest Under 37 C.F.R. 42.8(b)(1)... 1 B. Related Matters Under 37 C.F.R. 42.8(b)(2)... 1 C. Lead and Backup Counsel Under 37 C.F.R. 42.8(b)(3)... 1 D. Service Information Under 37 C.F.R. 42.8(b)(4)... 2 II. PAYMENT OF FEES UNDER 37 C.F.R III. OVERVIEW OF THE 455 PATENT... 2 A. Technological Background... 3 B. Disclosure Of The 455 Patent Applicant Admitted Prior Art (AAPA) Purported Improvement Provided by the 455 Patent... 7 C. Summary Of The Prosecution History Of The 455 Patent...10 IV. REQUIREMENTS FOR INTER PARTES REVIEW UNDER 37 C.F.R A. Grounds For Standing Under 37 C.F.R (a)...12 B. Identification Of Challenge And Statement of Precise Relief Requested Under 37 C.F.R (b)...13 C. Claims For Which Inter Partes Review Is Requested Under 37 C.F.R (b)(1)...13 D. The Specific Prior Art And Statutory Grounds On Which The Challenge Is Based Under 37 C.F.R (b)(2)...13 E. How The Challenged Claims Are To Be Construed Under 37 C.F.R (b)(3) image light energy polarizing splitting element polarization modulator uniformly modulate retarder...15 i

3 TABLE OF CONTENTS (continued) Page 6. static polarizer element cleanup polarizer...16 F. How The Construed Claims Are Unpatentable Under 37 C.F.R (b)(4)...16 G. Supporting Evidence Under 37 C.F.R (b)(5)...16 V. DETAILED EXPLANATION OF PERTINENCE AND MANNER OF APPLYING CITED PRIOR ART TO EVERY CLAIM FOR WHICH REVIEW IS REQUESTED UNDER 37 C.F.R (b)(4)...16 A. Ground I: Claims 1-4, 7, 8, And Are Rendered Obvious Under 35 U.S.C. 103(a) Over Svardal In View Of Bierhuizen Svardal s Stereoscopic Projectors Svardal s Fig. 2 Embodiment - Left-Eye/ Right-Eye Images Projected At The Same Time Svardal s Fig. 3 Embodiment: Left-Eye/Right-Eye Images Projected In Alternating Fashion, With Polarization Recovery By A PCA To Avoid Wasting Half The Light The Construction Of Svardal s PCA In View Of Bierhuizen s PCA: PBS, Half-Wave Retarder, Reflector Svardal s Fig. 6 Embodiment: Left-Eye/Right-Eye Images Projected To An External Variable Retarder An Obvious Variant Of Svardal s Stereoscopic Projection Systems...28 a. Abstract...28 b. Detailed Description Of Obviousness Of Employing Polarization Recovery In The Fig 6 Embodiment With The PCA Downstream Of The Projection Lens In The External Stereoscopic Adaptor...30 c. Description Of The Fig. 6 Embodiment Employing A PCA Downstream Of The Projection Lens...38 ii

4 TABLE OF CONTENTS (continued) Page 7. Claim Charts For Claims 1-4, 7, 8, And Of The 455 Patent Based On Obviousness Over Svardal In View Of Bierhuizen...40 B. Ground II: Claims 9, 15 And 23 Are Rendered Obvious Under 35 U.S.C. 103(a) Over Svardal In View Of Bierhuizen And Applicant Admitted Prior Art Applicant Admitted Prior Art (AAPA) Obvious Variants Of Svardal s Stereographic Projection Systems In View Of Bierhuizen And AAPA Claim Charts For Claims 9, 15 And 23 Of The 455 Patent Based On Obviousness Over Svardal In View Of Bierhuizen And AAPA...58 VI. The Grounds For Rejection Presented Herein Are Distinguishable From Those Presented In IPR and IPR VII. CONCLUSION...60 CERTIFICATE OF SERVICE (37 C.F.R )...61 iii

5 Exhibit Description TABLE OF EXHIBITS 1001 U.S. to Cowan et al File History for U.S. to Cowan et al Declaration of Matthew S. Brennesholtz with Attachment A, Curriculum Vitae of Matthew S. Brennesholtz 1004 U.S. Patent No. 6,547,396 to Svardal et al U.S. Patent No. 6,839,095 to Bierhuizen et al U.S. Patent No. 4,792,850 to Lipton et al Curriculum Vitae of Matthew S. Brennesholtz iv

6 I. MANDATORY NOTICES UNDER 37 C.F.R. 42.8(a)(1) A. Real Parties-In-Interest Under 37 C.F.R. 42.8(b)(1) MasterImage 3D, Inc. and MasterImage 3D Asia, LLC (collectively Petitioner ) are the real parties-in-interest. B. Related Matters Under 37 C.F.R. 42.8(b)(2) U.S. Patent 7,857,455 (the 455 patent) (Ex. 1001) and related U.S. Patent 7,959,296 (the 296 patent), and U.S. Patent 7,905,602 (the 602 patent) and its child U.S. Patent 8,220,934 (the 934 patent), are the subject of litigation brought by RealD, Inc. ( RealD or Patent Owner ) against Petitioner in the U.S. District Court for the Central District of California (Western Div.). The District Court action, titled RealD Inc. v. MasterImage 3D, Inc. and MasterImage 3D Asia, LLC, No. 2:14-CV-02304, has been stayed pending a final determination of an ITC Investigation, titled In the Matter of Certain Three-Dimensional Cinema Systems and Components Thereof, INV. 337-TA- 339, involving the same four patents. The ITC Investigation was initiated on December 8, 2014 based on a complaint filed by RealD. The respondents are MasterImage 3D, Inc. and MasterImage 3D Asia, LLC. Petitioner is also seeking inter partes review of the 455 patent by two petitions filed October 7, 2014 (IPR , 00035), and of the 296, 602 and 934 patents by petitions also filed October 7, 2014 (IPR , 00038, 00040). C. Lead and Backup Counsel Under 37 C.F.R. 42.8(b)(3) Petitioner provides the following designation of counsel: 1

7 Lead Counsel Evan Finkel (Reg. No. 49,059) Pillsbury Winthrop Shaw Pittman LLP Postal and Hand Delivery Address 725 South Figueroa St., Suite 2800 Los Angeles, CA Telephone: Facsimile: Back-Up Counsel Roger R. Wise (Reg. No. 31,204) Pillsbury Winthrop Shaw Pittman LLP Postal and Hand Delivery Address 725 South Figueroa St., Suite 2800 Los Angeles, CA Telephone: Facsimile: D. Service Information Under 37 C.F.R. 42.8(b)(4) Service of any documents via hand-delivery may be made at the postal mailing address of the lead counsel designated above with courtesy copies to lead and backup counsel and the address: II. PAYMENT OF FEES UNDER 37 C.F.R The undersigned authorizes the Office to charge Deposit Account No for the fee set forth in 37 C.F.R (a), and for any other applicable or additional fees for or in connection with this Petition or the inter partes review proceeding. III. OVERVIEW OF THE 455 PATENT The 455 patent, titled Combining P and S Rays for Bright Stereoscopic Projection, issued December 28, 2010 based on an application filed October 18, Portions of the 455 patent disclosure relevant to the challenged claims are 2

8 reviewed below, following a discussion of stereoscopic projection technology. A. Technological Background One method used to display images, e.g., motion pictures, with a stereoscopic three-dimensional ( 3D ) effect utilizes the projection of two images which are superimposed onto a screen. The two images are of the same scene, but are depicted from slightly different perspectives, e.g., the left and right lenses of a stereoscopic camera. The left and right stereoscopic images have a visible light characteristic such that when they are viewed through special eyeglasses, each of the viewer s eyes sees only one of the images, providing the 3D effect. Declaration of Matthew S. Brennesholtz ( Brennesholtz Decl. ) (Ex. 1003), 11. Visible light characteristics used to achieve a 3D effect include color and polarization. Polarization is a property of an electromagnetic wave, such as light, used to describe the direction in which the wave s electric field is oscillating. The distance a wave travels in one cycle of oscillation is called its wavelength. The color of light is a function of wavelength. When viewed as a sinusoidal, single wavelength plane wave travelling in one direction, light may be characterized as being unpolarized (or randomly polarized) or its state of polarization ( SOP ) may be linear, circular or elliptical. Id., 12. For light impinging on a tilted surface, the plane of incidence is defined as the plane that contains both the direction of propagation of the light and the normal to the tilted surface. For linearly polarized light, the direction of the plane in which 3

9 the electric field oscillates, relative to the plane of incidence of the light, is used to describe the light as being p-polarized (parallel to the plane of incidence), s-polarized (perpendicular to the plane of incidence) or at some angle relative to one of the planes. Light which is p-polarized is orthogonal to s-polarized light. For circularly polarized light, the rotation of the electric field vector may be right-handed or lefthanded, which are also considered orthogonal to each other. Id., 13. Various optical devices can be used to alter light s state of polarization. A linear polarizer is a device that transmits only one polarization, such as a p-polarizer which by its design and orientation passes only linearly p-polarized light. An eyeglass lens used to view polarized stereographic images is a polarizer and is sometimes called an analyzer because it analyzes all of the light in its view and blocks out all but one SOP. If the light incident upon a polarizer is predominately of the same orientation as the polarizer, the polarizer is sometimes called a clean-up polarizer. Id., 14. A polarized beam splitter ( PBS ) is used to separate unpolarized light into independent paths of p-polarized and s-polarized light. Some PBSs pass p-polarized light through the device and reflect the s-polarized light upward (or downward). After the PBS, the two different polarizations of light may be traveling perpendicularly to each other or may be at some other angle. Commonly the designations P and S are used for primary and secondary beams. In many polarizing beam splitters, p- polarized light is transmitted and becomes the primary (P) beam and s-polarized light is reflected and becomes the secondary (S) beam, but the designations primary and 4

10 secondary are arbitrary. Id., 15. A wave plate or retarder alters the polarization state of light passing through it. A half-wave retarder with the correct orientation is used to rotate the polarization direction of linearly polarized light by 90º; thus p-polarized light entering a half-wave retarder exits as s-polarized light. A quarter wave retarder with the correct orientation is used to convert linearly polarized light to circularly polarized light. Retarders are often called by short-hand names, such as half-wave or quarter-wave, without expressly specifying the orientation of their axes or of the input light. Half-wave and quarter-wave refer to a retarder whose value is ½ or ¼ the wavelength of the incident light. Id., 16. Half-wave and quarter-wave retarders are examples of static devices in that the polarization conversion which they perform does not change over time. On the other hand, a polarization modulator (also call a polarization switch) provides different output states of polarization over time based on control signal(s) applied to the modulator. For example, a polarization modulator could alternately output p/s/p/spolarized light in synchronization with a control signal ±V/0/±V/0. Alternatively, two liquid crystal (LC) cells could be used, with ±V applied alternately with 0 volts to each of the two cells out of phase. Id., 17. Some stereoscopic systems display the left-perspective and right-perspective images simultaneously, while others display the left and right images sequentially, e.g., L/R/L/R. Simultaneous display of left and right images is most easily accomplished 5

11 using two display devices, e.g., two projectors. Sequential display of left and right images allows use of a single display system which employs a polarization modulator providing alternating output states of polarization in synchronism with the switching rate between the left and right images. Id., 18. B. Disclosure Of The 455 Patent 1. Applicant Admitted Prior Art (AAPA) The 455 patent begins with a discussion of the shortcomings of prior art stereographic projection systems and in particular those employing the ZScreen polarization modulator as described in U.S. Patent 4,792,850 to Lipton et al. (Ex. 1006). A prior art system utilizing a ZScreen polarization modulator is shown in FIG. 1A of the 455 patent (reproduced below). The FIG. 1A design employs a single projector having an imaging surface 101 and a projection lens 102 which projects an image onto the screen 104. A ZScreen 103 is disposed between the projection lens and the screen. The projector produces a stream of alternating left and right image fields, with each of the fields corresponding 6

12 to one perspective. The ZScreen is a polarization modulator that switches the polarization state of the image light arriving at the screen 104 alternately between lefthanded and right-handed circularly polarized light. The polarization modulator has a switching rate which matches the image field switching rate. An observer 106 wearing eyewear 105, consisting of left-handed and right-handed circularly polarized analyzer lenses, views the left perspective images through only his left eye and the right perspective images through only his right eye. 455 patent, 3: As discussed in the 455 patent by reference to prior art FIG. 1B, a ZScreen consists of three optical elements: a linear p-polarizer, a first electro-optical cell having its axis aligned in a first direction, and a second electro-optical cell having its axis aligned in a second direction. The axes of the electro-optical cells, also known as picells, are arranged relative to each other and to the axis of the input p-polarizer such that when the pi-cells are electrically driven out of phase, they transform the linearly p-polarized light provided by the input polarizer into circularly polarized light that alternates between left- and right-handedness. Id., 3:55-4:17. Since the ZScreen employs at least one absorption sheet polarizer, i.e., the input p-polarizer, the brightness of the stereoscopic image (output by the ZScreen) is less than half the brightness of the original image output by the projector. Id., 1: Purported Improvement Provided by the 455 Patent The 455 patent seeks to increase the overall brightness of a projected stereoscopic image in a system which uses polarization for image selection. The 7

13 system utilizes a dual path arrangement that almost doubles the amount of light energy projected onto the screen. 455 patent, 3: FIG. 6A of the 455 patent (reproduced below) illustrates an embodiment of the dual path system. Image light from an imaging surface 621 is projected through a projection lens 601 onto a polarizing splitter 602, which is illustrated as a polarizing beam splitter to create separate P (primary) and S (secondary) light beams based on polarization. The S beam, reflected upwardly from the polarizing splitter 602, travels along a first path which includes a mirror 603 to direct the light through a clean-up polarizer 609 and into a polarization modulator 606. Light exiting the modulator 606 is projected onto the screen patent, 9:43-10:11. The P beam, exiting rightward from the polarizing splitter 602, travels along a second path into a half wave retarder 604. The half wave retarder rotates the 8

14 polarization state of the P beam so that the polarization of the exiting beam (termed Rotated P polarization 612 in FIG. 6A) is coincident with the polarization of the S beam. Id. For example, from the splitter 602, the upwardly reflected beam is s- polarized, the transmitted beam is p-polarized, and by the half wave retarder 604, the p-polarized beam is rotated to become s-polarized. The Rotated P polarization beam (i.e., the newly formed s-polarized beam in the example) continues to travel along the second path which includes mirrors 620, 605 to direct the light through a clean-up polarizer 610 and into a polarization modulator 607. Light exiting the polarization modulator 607 is projected onto the screen 608. The arrangement of FIG. 6 serves to substantially optically superimpose light energy between the two paths. Id. Although depicted as separate panels, polarization modulators 606, 607 may be a single relatively large modulator covering both light paths. 455 patent 6: In FIG. 6A, the half wave retarder 604 is placed in the path of the beam transmitted through the polarizing splitter 602, but it may be placed in the reflected path. 455 patent, 9: [T]he axes of one beam must be rotated, but it is immaterial which so long as both enter the polarization modulator with axes parallel. 455 patent, 5: The beams are modulated using the polarization modulators 606, 607, such as ZScreens. 455 patent, 9:43-10:11. In various embodiments, the 455 patent contemplates use of circular polarization, with respect to components such as the polarization modulators. However, the 455 patent notes that linear polarization may also be employed, 9

15 replacing the circularly polarizing elements with linear polarizing elements. 455 patent, 7:3-8. For the pi-cells of a ZScreen to properly perform their modulation function, the light applied to them is required to be linearly polarized. 455 patent, 3: Thus, a ZScreen employs at least one absorptive polarizer, which is disposed in front of the pi-cells. 455 patent, 1:16-19; See also Brennesholtz Decl., 19. By aligning the linear polarization direction of both the first and second paths of the image light with the axis of the ZScreen linear polarizer (which axis is defined by the pi-cells), the 455 patent projection system avoids the 50% loss in image brightness which occurs in prior art systems as a result of randomly polarized light being applied to the ZScreen input linear absorptive polarizer. Brennesholtz Decl., 19. The 455 patent further discloses an embodiment which essentially comprises two FIG. 6A arrangements. See 455 patent, Fig. 6B. There are two projectors, each having an imaging surface and a projection lens. The image light from the first projector enters a corresponding first polarizing splitter, and the image light from the second projector enters a corresponding second polarizing splitter. Two separate sets of mirrors, clean-up polarizers, half wave retarders and ZScreens are utilized, but the relative arrangement and principles of operation of each set are the same as described above for FIG. 6A. 455 patent, 10: C. Summary Of The Prosecution History Of The 455 Patent The prosecution history for the 455 patent is provided as Exhibit The 10

16 455 patent was filed as an application with 23 claims on October 18, Claims 1, 16, 17 and 22 were independent claims that issued as claims 1, 16, 17 and 22, respectively. Claims 1, 16, and 22 were amended in a first response, and claims 1, 16, 17, and 22 were amended in a second response, as discussed below. On July 20, 2009, the USPTO issued a first Office Action that rejected all the claims as anticipated or obvious over several prior art references, which included U.S. Pub. No. 2006/ to Sonehara ( Sonehara ); U.S. Pub. No. 2006/ to Sedlmayr ( Sedlmayr ); U.S. Patent No. 6,704,065 to Sharp ( Sharp ); U.S. Patent No. 4,792,850 to Lipton ( Lipton ); and U.S. Patent No. 6,288,840 to Perkins ( Perkins ). Ex at In a January 10, 2010 response to overcome the rejections, applicant amended claim 16 to require modulating of the polarization of light energy. Ex at Furthermore, applicant argued that Sonehara does not disclose a polarization modulator as specified in claim 1 and 17, or modulating the polarization of the primary path of light energy as specified in claim 16. Ex at (emphasis in original). Applicant argued that instead Sonehara teaches spatial light modulators. Ex at 227. Applicant also argued that with respect to claim 22, it would not have been obvious to combine the output static polarizer element in Sharp with Sonehara because it would render Sonehara inoperable by making the output light s polarization substantially uniform. Ex at 228. A second Office Action, mailed April 19, 2010, rejected claims 1-23 as having subject matter that was either anticipated by U.S. Patent No. 6,280,034 to 11

17 Brennesholtz ( Brennesholtz ) or obvious over Brennesholtz in view of Lipton. Ex at These rejections were overcome in an amendment filed June 21, 2010, by amendments to claims 1, 16 and 17 that the polarization modulator uniformly modulates light. Ex at Applicant also amended claim 22 to specify a polarization modulator which uniformly modulates light energy. Ex at Furthermore, applicant argued that Brennesholtz s light panels modulate a pixel light pattern so that the LCD panels selectively modulate and reflect portions of the light and therefore they do not uniformly modulate the light. Ex at (emphasis in original). Applicant also argued that Brennesholtz describes techniques for the illumination side of the projector for the purposes for forming an image, and [i]n contrast, Applicants submit that the present application relates to the image side of the projector. Ex at 130, 132. Notices of Allowance and Allowability were subsequently issued with the Notice of Allowability stating that the prior art does not show an apparatus that uniformly modulate[s] the polarization of a primary or secondary path of light energy. Ex at No other reason for allowance was indicated. IV. REQUIREMENTS FOR INTER PARTES REVIEW UNDER 37 C.F.R A. Grounds For Standing Under 37 C.F.R (a) Petitioner certifies under 37 C.F.R (a) that the patent for which review is requested is available for inter partes review and that Petitioner is not barred or 12

18 estopped from requesting an inter partes review challenging the patent claims on the grounds identified in the petition. Neither Petitioner, nor any party in privity with Petitioner, has filed a civil action challenging the validity of any claim of the 455 patent. The 455 patent is the subject of pending prior inter partes reviews filed by Petitioner (IPR , 00035). Petitioner also certifies this petition for inter partes review is filed within one year of the date of service of a complaint alleging infringement of a patent. Petitioner was served with a complaint alleging infringement of the 455 patent on March 26, 2014, which led to Civil Action No. 2:14-CV in the Central District of California. Because the date of this petition is less than one year from March 26, 2014, this petition complies with 35 U.S.C. 315(b). B. Identification Of Challenge And Statement of Precise Relief Requested Under 37 C.F.R (b) The precise relief requested by Petitioner is that claims 1-4 and 7-23 of the 455 patent be found unpatentable. C. Claims For Which Inter Partes Review Is Requested Under 37 C.F.R (b)(1) Inter partes review of claims 1-4 and 7-23 of the 455 patent is requested. D. The Specific Prior Art And Statutory Grounds On Which The Challenge Is Based Under 37 C.F.R (b)(2) Inter partes review is requested in view of the following references and specific grounds for rejection: Ground 1: Claims 1-4, 7, 8, and are rendered obvious under 35 13

19 U.S.C. 103(a) by Svardal, U.S. Patent No. 6,547,396 (Ex. 1004) in view of Bierhuizen, U.S. Patent No. 6,839,095 (Ex. 1005). Ground 2: Claims 9, 15 and 23 are rendered obvious under 35 U.S.C. 103(a) over Svardal in view of Bierhuizen, further in view of applicant admitted prior art. E. How The Challenged Claims Are To Be Construed Under 37 C.F.R (b)(3) A claim in inter partes review is given the broadest reasonable construction in light of the specification See 37 C.F.R (b). Petitioner presents a construction for certain terms present in the challenged claims in the subsections below. The constructions set forth below are provided only for the purposes of this inter partes review. These constructions are not intended and shall not be viewed as constituting, in whole or in part, Petitioner s constructions applicable in any other forum, including U.S. District Court or the U.S. International Trade Commission, where the rules or standards for claim construction differ from those applicable to inter partes review. 1. image light energy The term image light energy should be construed as light bearing an image such that when the light reaches a screen the image is viewable. See Brennesholtz Decl., 20(a); 455 patent, 9: polarizing splitting element The term polarizing splitting element should be construed as a device that creates primary path and secondary path beams of light energy by directing light of 14

20 one polarization state along a first path and light of another polarization state along a second path. See Brennesholtz Decl., 20(b); 455 patent, 5: polarization modulator The term polarization modulator should be construed as a device that receives light energy and outputs the light energy in at least two alternating states of polarization, wherein the alternating states, include, but are not limited to, p-polarized and s-polarized linearly polarized light, and left- and right-handed circularly polarized light. See Brennesholtz Decl., 20(c); 455 patent, 3:25-4:25; 7: uniformly modulate The term uniformly modulate should be construed as meaning that any transformation in polarization state resulting from polarization modulation is applied equally to all portions of the incoming light. See Brennesholtz Decl., 20(d); Ex ( 455 patent prosecution history) at retarder The term retarder should be construed as an optical device which changes the polarization characteristics of a beam of polarized light without absorbing any of the light passing through it. See Brennesholtz Decl., 20(e); 455 patent, 5: static polarizer element The term static polarizer element should be construed as a single-state optical device which changes the polarization characteristics of a beam of polarized light. See Brennesholtz Decl., 20(f); 455 patent, 5:57-60; 10:46-50; 11:

21 7. cleanup polarizer The term cleanup polarizer should be construed as an optical device which removes undesired polarization characteristics from light having one predominate polarization state of potentially insufficient purity. See Brennesholtz Decl., 20(g); 455 patent, 5:57-6:7. F. How The Construed Claims Are Unpatentable Under 37 C.F.R (b)(4) An explanation of how construed claims 1-4 and 7-23 of the 455 patent are unpatentable under the statutory grounds identified above, including identification of where each element of the respective claims is found in the prior art patents or in the applicant admitted prior art, is provided in Section V below. G. Supporting Evidence Under 37 C.F.R (b)(5) The exhibit numbers of the supporting evidence relied upon to support the challenge are provided in Section III above with respect to the prior art admitted by the 455 patent and in Section V below in discussing the prior art patents. See also the Table of Exhibits, pg. iv. Section V also identifies specific portions of the evidence that supports the challenge. V. DETAILED EXPLANATION OF PERTINENCE AND MANNER OF APPLYING CITED PRIOR ART TO EVERY CLAIM FOR WHICH REVIEW IS REQUESTED UNDER 37 C.F.R (b)(4) A. Ground I: Claims 1-4, 7, 8, And Are Rendered Obvious Under 35 U.S.C. 103(a) Over Svardal In View Of Bierhuizen U.S. Patent No. 6,547,396 (Ex. 1004) to Svardal et al. (hereinafter Svardal ) 16

22 issued April 15, 2003 and is therefore prior art to the 455 patent under 35 U.S.C. 102(b). Svardal is listed as a cited reference on page 2 of the 455 patent, but was not utilized in any rejection of the claims during prosecution (see Section III.C above). U.S. Patent No. 6,839,095 (Ex. 1005) to Bierhuizen et al. (hereinafter Bierhuizen ) issued on January 4, 2005 and is therefore prior art to the 455 patent under 35 U.S.C. 102(b). Bierhuizen was published as an application in November of Bierhuizen, face sheet. Neither the Bierhuizen patent nor published application was cited during prosecution of the 455 patent. 455 patent, face sheet, pg Svardal s Stereoscopic Projectors Svardal discloses projectors for displaying an image on a viewing surface, wherein the image is perceived by a viewer as being three-dimensional ( 3D ). Svardal, 1:6-9. To achieve the 3D effect, the projectors utilize a stereoscopic projection technique in which left-eye and right-eye images are projected such that, with the aid of optical filters worn by the viewer, the viewer sees the left-eye images through only his left eye, and the right-eye images through only his right eye. Id., 1: Fig. 5 (reproduced below) is a perspective view of one embodiment. 17

23 The projection system 200 includes a projector body 202 and a projection lens 204. Id., 7: In a first embodiment of the invention, all of the electrical and optical components needed to project a stereoscopic image are completely housed within the body 202. See Figs In another embodiment, components within the body 202 work in combination with components housed within a frame 208 to provide a stereoscopic adaptor 206 which is removable from the projection lens 204. Id., 7:36-49; see also Figs. 6, Svardal s Fig. 2 Embodiment - Left-Eye/ Right-Eye Images Projected At The Same Time Fig. 2 (reproduced below) illustrates one example of the first embodiment in which the left-eye and right-eye images are projected at the same time. Id., 6: In Fig. 2, a light beam 23, originating from a light source 22, passes through an infrared and/or ultraviolet filter 24 and through a rotating color wheel 26. Id., 3:46-4:21. The color wheel spins at a predetermined frequency to sequentially pass, for example, red, green and blue light. Id. Thereafter, the light beam 23 passes through an integrator 28, and by use of relay lenses 30 and mirror 32 is directed upward 18

24 toward a polarizing beam splitter 36. Id., 4:22-5:2. Adjacent to two sides of the beam splitter 36 are left-image producing element 42 and right-image producing element 44, which together comprise an image engine 34. Id. Image producing elements 42, 44 are reflective liquid crystal on silicon (LCOS) panels which operate by selectively optically rotating and reflecting portions of an incident polarized light beam on a pixel-by-pixel basis in accordance with a left eye image signal and a right eye image signal, respectively. Id., 5:3-18. The polarizing beam splitter 36 serves to separate the unpolarized light ray 23 into first and second polarized light beams for application to the respective image producing elements 42, 44. Id., 4:46-5:2. After selective rotation and reflection of the first and second polarized light beams by the left, right image-producing elements 42, 44, the polarizing beam splitter 36 directs the image-bearing light through the projection lens 14 so that the left image beam and the right image beam are projected in an overlapping manner, forming the stereoscopic image on a viewing surface. Id., 5:46-6:4. By use of appropriate polarization filters in the form of eyewear worn by the viewer, the viewer s left eye sees only the left-eye images and the viewer s right eye sees only the right-eye images. Id., 5:46-6:4; see also 1: Svardal s Fig. 3 Embodiment: Left-Eye/Right-Eye Images Projected In Alternating Fashion, With Polarization Recovery By A PCA To Avoid Wasting Half The Light In the system of Fig. 3 (reproduced below), the left-eye and right-eye images are projected in an alternating fashion. Id., 6:

25 Two main components added to the Fig. 2 system to provide the alternate leftimage/right-image system of Fig. 3 are a PCA 116 and a variable retarder 132. Id., 6:17-63; c.f. Fig. 3 with Fig. 2. Referring to Fig. 3, the PCA 116 is in the path of the unpolarized light beam 104 after the beam has passed through the color wheel 108 and lenses 110, 112, 114. Id., 6: The PCA 116 modifies the unpolarized light beam using polarization recovery. Id., 6:32-42; 7:23-28; see also Brennesholtz Decl., Polarization recovery is performed by splitting an unpolarized beam of light into two polarized beams, rotating the polarization of one beam to match the polarization of the other, and then recombining the beams into a single polarized beam. Svardal, 7: The beam of single polarized light exiting the PCA 116 is directed by relay lenses 118 and a mirror 120 toward a polarizing beam splitter 124 and an image engine 122 comprised of left image, right image producing elements 126, 128. Svardal, 6: Before reaching the polarizing beam splitter 124, the beam of single polarized light passes through a clean-up polarizer 130 and the variable retarder

26 Id., 6:47-50; see also Brennesholtz Decl., 24. The variable retarder 132 has two states: i) a first state in which incident polarized light passes through without being rotated, and ii) a second state in which incident polarized light is rotated 90º. Svardal, 7:4-22. Thus, the variable retarder 132 selectively (alternately) modulates the incident polarized light to output p/s/p/s-polarized light. Brennesholtz Decl., 24. When the variable retarder is in the first state, the beam exiting the variable retarder has a polarization state (p-polarization) which allows the beam to pass through the polarizing beam splitter 124 to impinge on the left image-producing element 126. Svardal, 7:4-22; see also Brennesholtz, 24. Conversely, when the variable retarder 132 is the second state, the beam of light exiting the variable retarder 132 has the orthogonal polarization state (s-polarization) so that the light beam is reflected by the polarizing beam splitter 124 to impinge on the right image producing element 128. Id. The left image-producing element 126 and the right image-producing element 128 are configured to alternately produce the left-eye image and the right-eye image in synchronism with the no polarization rotation/90º polarization rotation states of the variable retarder 132. Svardal, 6: The alternating left-eye and right-eye images are directed by the polarizing beam splitter 124 for projection through the projection lens 134 onto a viewing surface. Id., 6:50-63; 2: The Construction Of Svardal s PCA In View Of Bierhuizen s PCA: PBS, Half-Wave Retarder, Reflector A person of ordinary skill in the art in the field of the 455 patent would be 21

27 someone with a good working knowledge of optics and display systems in general, and stereoscopic projection systems in particular. The person would have gained this knowledge through an undergraduate or graduate education in physics, optics, or a comparable field, in combination with further training and several years of practical working experience. Brennesholtz Decl., 10. One of ordinary skill in the art would have understood that: i) splitting the unpolarized beam of light into two polarized beams is performed by a polarizing beam splitter; ii) rotating the polarization of one beam to match the polarization of the other beam is performed by a half-wave retarder; iii) recombining the beams into a single polarized beam is performed by a reflector; and iv) the polarizing beam splitter, half-wave retarder and reflector are within the PCA 116. Brennesholtz Decl., From the depiction in Fig. 3, one of ordinary skill would have understood that the PCA 116 is comprised of multiple sets of optical devices, where each set includes a polarizing beam splitter, a half-wave retarder and a reflector, and where the sets are arranged in an array such that each set of optical devices performs polarization recovery on respective light rays forming the unpolarized light beam 104. Id. That a PCA 116 as disclosed in Svardal would be understood by the persons of ordinary skill in the art as including a polarizing beam splitter, half-wave retarder, and reflector for respectively performing its splitting, rotating, and recombining operations, is confirmed by Bierhuizen. Bierhuizen and Svardal are both assigned to InFocus Corporation, both name Benny S. Svardal as an inventor, and both use the 22

28 same acronym PCA for polarization conversion assembly. Whereas Svardal describes the three-steps performed by the PCA without expressly mentioning the components within the PCA that necessarily perform those steps, Bierhuizen expressly identifies such components that is, Bierhuizen makes express that which is inherent to the PCA 116 in Svardal. Bierhuizen discloses several embodiments for a color video projector which employs a reflective liquid crystal on silicon (LCOS) light valve. Figs. 1 and 2 illustrate prior art three-path reflective LCOS optical systems. Id., Figs. 1, 2; 5: Fig. 3 (a portion of which is reproduced below) illustrates an embodiment of the invention that supports alternative polarization conversion assembly embodiments for a single-path reflective LCOS optical system. Id., 5: In Fig. 3, light rays emitted by a light source 14, comprising an arc lamp 28 and a reflector 29, propagate along optical axis 12 through a rotating color wheel 102 and an optical integrator 16. Id., 9:7-33. The frame-sequential color ( FSC ) light rays exiting the integrator 16 are colliminated by a lens 20, reflected by a fold mirror 23 23

29 and directed through a lens 24 as randomly polarized FSC light rays 108. Id. To increase the light transmission efficiency of the projector, Bierhuizen discloses placement of a polarization conversion device in the optical path 12 following the first lens 20. Id., 10: This causes a substantial majority of the FSC light rays 108 to be p-polarized. Id. Bierhuizen discloses two alternatives for such a polarization conversion device. Id., 10: Specifically, Fig. 1 (a portion of which is reproduced below) illustrates a polarization conversion prism assembly 22, and Fig. 4 (a portion of which is reproduced further below) illustrates a polarization conversion assembly ( PCA ) 126. Id., 10: The PCA 126 of Fig.4 is essentially an array of small polarization conversion prisms 22 of Fig. 1. Id., 4:

30 PCAs [e.g., 126 in Fig. 4 above] employ an immersed polarizing beam splitter that separates the two polarization states, such that the P-polarized light passes directly through the coating interface, while S-polarized light is reflected along an alternate path. The S-polarized light is converted into P-polarized light by a halfwave plate on the output face of the alternate path. Thus, substantially all of the light propagating from a PCA [e.g., 126 in Fig. 4 above] has the same polarization state. Id., 10:37-44 (emphasis added). Moreover, as noted above, a polarization conversation assembly ( PCA ) is essentially an array of small polarization conversion prisms. Id., 4: Referring to Fig. 1 above, the polarization conversion prism assembly 22 includes a 45º rhomboid prism 30 and a right angle triangle prism 31. Id., 6: Coating material at the interface of the prisms 30, 31 forms a polarizing beam splitter (see the diagonal line within polarization conversion prism assembly 22 at the juncture between prisms 30 and 31) that allows the p-polarized light to pass through, while the s-polarized light is reflected along an alternate path first in the upward direction by the coating material at the interface of the prisms 30, 31, and then to the left by prism 30 toward a half-wave plate 32. Id., 6:43-47; 10: By the half-wave plate 32 disposed on the output face of the alternate path, the s-polarized light is converted to p-polarized light. Id., 6:32-35; 10: Consequently, as in the case of the PCA, all of the light propagating from the polarization conversion device 22 has the same linear polarization state. Id., 10:

31 In the examples described above, the same linear polarization state is p- polarization. Id., 10: However, skilled workers will recognize that it is possible to construct a polarization conversion device that propagates substantially s-polarized light. Id., 10: Thus, whether a Fig. 1 polarization conversion prism assembly 22 or a Fig. 4 polarization conversion assembly ( PCA ) 126 is utilized as the polarization conversion device, an arrangement of a polarizing beam splitter, half-wave plate, and reflector are used to perform the splitting, rotating, and recombining steps, respectively, described in Svardal for the PCA 116 therein. This confirms that one of ordinary skill in the art would have known that the PCA 116 in Fig. 3 of Svardal necessarily includes a polarizing beam splitter (PBS), a half-wave retarder and a reflector, with each of those optical devices performing a corresponding step of polarization recovery. Brennesholtz Decl., Moreover, one of ordinary skill in the art would have found it obvious to construct Svardal s Fig. 3 PCA 116 from a polarizing beam splitter, half-wave retarder (plate) and reflector arranged as disclosed for the Bierhuizen Fig. 4 PCA 126 or for the Bierhuizen Fig. 1 polarization conversion prism assembly 22. Id., 41. * * * To briefly summarize: Svardal in view of Bierhuizen teaches (1) a stereoscopic projection system (see Section V.A.1 above and Svardal, 1:6-9) (2) that uses PCA 116 comprising a polarizing beam splitter to split an unpolarized beam of light into two 26

32 polarized beams, a half-wave retarder (plate) to rotate the polarization of one beam to match the polarization of the other, and a reflector to recombine the beams into a single polarized beam of one polarization state (see this Section V.A. 4 and Bierhuizen, 10:18-44) (3) that is provided to a variable retarder 132 which alternates between a first state and a second state to modulate the polarized beam into p/s/p/s-polarized light (see Section V.A.3 above and Svardal, 7:4-22). 5. Svardal s Fig. 6 Embodiment: Left-Eye/Right-Eye Images Projected To An External Variable Retarder Fig. 6 (reproduced below) schematically illustrates the embodiment of Svardal s projector in which the stereoscopic adaptor 206 is utilized (adaptor 206 is shown pictorially in Fig. 5 reproduced in Section V.A.1 above). In the Fig 6 embodiment, a light ray 223 from a light source 222 passes through a color wheel 226 and is directed by lenses 230 and a mirror 232 to an image generator 234. Id., 7: There is a single image producing element 234 configured to produce alternating left-eye and right-eye images. Id., 7:59-8:4. As depicted, image 27

33 producing element 234 is a reflective image producing element, such as a digital micromirror device (DMD) or a LCOS panel. Id. Image light reflected from the element 234 passes through a field lens 238 and a projection lens 204. Id. Disposed downstream of the projection lens 204, within adaptor 206, are a polarizer 240 and a variable retarder 242. Id., 8:5-27. The polarizer 240 polarizes the light exiting the projection lens 204 into a polarized beam. Id. The variable retarder 242 functions the same as the variable retarder 132 previously described with respect to Fig. 3. Id. That is, in a first state, the variable retarder 242 passes an incident beam of polarized light without polarization rotation (to output, e.g., p-polarized light), and in a second state, rotates the polarization of the incoming polarized light by 90º (to output, e.g., s-polarized light). Id.; see also Brennesholtz Decl., 24. The switching rate of the variable retarder 242 between the no polarization rotation/90º polarization rotation is synchronized with the switching rate between the left-eye/right-eye images as generated by the image producing element 234. Svardal, 8: In this manner, left-eye images having one polarization state are alternately projected with right-eye images having an orthogonal polarization state. Id. 6. An Obvious Variant Of Svardal s Stereoscopic Projection Systems a. Abstract Svardal discloses an approach for projecting stereoscopic images, illustrated in Figs. 3 and 6 and described in Sections V.A.3-5 above, in which the left-eye and right- 28

34 eye images are alternately projected. See also Brennesholtz Decl., 25 (citing Figs. 3, 6; 6:18-8:40). When utilizing this approach, the main components of the Svardal projectors are: i) a light source 102/222; ii) an image engine 122/234 to produce the alternating left-eye and right-eye images; iii) a polarizer 130/240; iv) a variable retarder 132/242; and v) a projection lens 134/204. Brennesholtz Decl., 25 (citing Figs. 3, 6; 6:32-8:40; claim 22). In the embodiment of Fig. 6, the image producing element 234 may be a digital micromirror device (DMD) that produces an image comprised of randomly polarized light. Svardal, 7:59-8:4; Brennesholtz Decl., 30. The variable retarder 132/242 alternates between a first state in which incident polarized light passes through without being rotated corresponding to one of a left or right image, and a second state in which incident polarized light is rotated 90º corresponding to the other of the left or right image. In this manner, the optical system enables stereographic image projection through a single projection lens. Svardal, 7:4-22; 8: Svardal teaches: The use of variable retarder 132 [in the embodiment of Fig. 3] allows the image intensity to be increased through polarization recovery. Polarization recovery is performed by splitting an unpolarized beam of light into two polarized beams, rotating the polarization of one beam to match the polarization of the other, and then recombining the beams into a single polarized beam. Thus, polarization recovery provides a polarized beam of light, with the loss of only a small amount of intensity relative to the use of an ordinary passive filter to create a 29

35 polarized beam of light. Svardal 7:24-33; see also Brennesholtz Decl., 31. The variable retarder 242 in the Fig. 6 embodiment operates the same as the variable retarder 132 in the Fig. 3 embodiment. Svardal, 8: One of ordinary skill in the art would have known that the use of variable retarder 242 in the embodiment of Fig. 6, just like the variable retarder 132 of Fig. 3, would also allow the image intensity to be increased through polarization recovery. Brennesholtz Decl., 25-40; see also Section V.A.6.b below. Polarization recovery is performed in the Fig. 3 embodiment by placing a PCA (Polarization Conversion Assembly) 116 before the polarizer 130 and the variable retarder 132. Brennesholtz Decl., 21-24; see also Section V.A.3 and 4 above. Thus, one of ordinary skill in the art would have known to place a PCA 116 in the Fig. 6 embodiment before the polarizer 240 and the variable retarder 242, to increase image intensity through polarization recovery. Brennesholtz Decl., 25-40; see also Section V.A.6.b below. The embodiment of Fig. 6, with the addition of the PCA 116 for performing polarization recovery, meets all the limitations of the challenged claims as illustrated in the claim charts in Section V.7 below. b. Detailed Description Of Obviousness Of Employing Polarization Recovery In The Fig 6 Embodiment With The PCA Downstream Of The Projection Lens In The External Stereoscopic Adaptor Svardal discloses two approaches for projecting stereoscopic images. In one approach (see Fig. 2), left-eye and right-eye images are simultaneously projected. 30

36 Brennesholtz Decl., 25 (citing Svardal, Fig. 2; 3:46-6:17). In a second approach (see Figs. 3, 6), the left-eye and right-eye images are alternately projected. Id. (citing Figs. 3, 6; 6:18-8:40). When utilizing the approach of providing alternating left-eye and right-eye images, the main components of the Svardal projectors are: i) a light source 102/222; ii) an image engine 122/234 to produce the alternating left-eye and right-eye images; iii) a polarizer 130/240; iv) a variable retarder 132/242; and v) a projection lens 134/204. Id. (citing Figs. 3, 6; 6:32-8:40; claim 22). For ease of reference, Figs. 3 and 6 of Svardal are reproduced below. With reference to Fig. 3, Svardal discloses one embodiment for a projector utilizing the approach of providing alternating left-eye and right-eye images. 31

37 Brennesholtz, 26. In the Fig. 3 embodiment, the variable retarder 132 is internal to the projector, disposed upstream of the image engine 122 and the projection lens 134. Id. (citing Fig. 3; 6:32-7:35; claim 23). The image engine 122 has separate left-image and right-image producing elements 126, 128, each in the form of liquid crystal on silicon (LCOS) elements. Id. (citing Fig. 3; 6:32-7:35; claims 24, 25). With reference to Fig. 6, Svardal discloses a second embodiment for a projector utilizing the approach of providing alternating left-eye and right-eye images. Brennesholtz, 27. In the Fig. 6 embodiment, the variable retarder 242 is external to the projector, disposed downstream of the image generating element 234 and the projection lens 204. Id. (citing Fig. 6; 7:36-8:40; claim 27). The image generating element 234 is a single element configured to produce the left-eye and right-eye images in an alternating manner and may be a digital micromirror device (DMD). Id. (citing Fig. 6; 7:36-8:40; claims 28, 29). In the Fig. 3 embodiment, where the variable retarder 132 is positioned upstream of the image generator 122, the polarizer which polarizes the beam of light for use by the variable retarder 132 is a combination of the PCA 116 followed by the clean-up polarizer 130. Brennesholtz, 28 (citing 7:36-8:40). The PCA performs polarization recovery. Id. As explained by Svardal, [p]olarization recovery is performed by splitting an unpolarized beam of light into two polarized beams, rotating the polarization of one beam to match the polarization of the other, and then recombining the beams into a single polarized beam. Id. (citing 7:24-28). Thus, the 32