- PTAB · Jul 25, 2025 · IPR2025-00191 · APJ Michael T Cygan · IPR · Institution
The Board instituted review on all challenged grounds for non-disclaimed claims 3, 6, 8–20; it found a reasonable likelihood of success for claims 8–12 and 19.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“review. See 35 U.S.C. § 314; 37 C.F.R. § 42.4(a). The standard for instituting an inter partes review is set forth in 35 U.S.C. § 314(a), which provides that an inter partes review may not be instituted “unless . . . there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” For the reasons discussed below, we determine that Petitioner has sufficiently shown a reasonable likelihood that it will prevail as to the unpatentability of claims 8–12 and 19 of the ’322 patent but has not sufficiently shown a reasonable likelihood that it will prevail as to the unpatentability as to claims 3, 6, 13–17, and 20. Because Petitioner has sufficiently shown a reasonable likelihood that at” slip op. at 2
- Adverse judgmentAdverse judgmentOther
“B. Patent Owner’s Disclaimer of Claims 1, 2, 4, 5, and 7 As indicated above, Patent Owner filed a statutory disclaimer of claims 1, 2, 4, 5, and 7 of the ’322 patent. See Ex. 2006. In view of Patent Owner’s statutory disclaimer, we treat claims 1, 2, 4, 5, and 7 as having never been part of the ’322 patent. See Vectra Fitness, Inc. v. TNWK Corp., 162 F.3d 1379, 1383 (Fed. Cir. 1998) (“This court has interpreted the term ‘considered as part of the original patent’ in [35 U.S.C.] § 253 to mean that the patent is treated as though the disclaimed claims never existed.”). Because inter partes review cannot be instituted based on disclaimed claims, claims 1, 2, 4, 5, and 7 are outside the scope of this proceeding. 37 C.F.R. § 42.107(e) (“No inter partes review will be instituted based on disclaimed claims.”); General Elec. Co. v. United Techs. Corp., IPR2017- 00491, Paper 9 (PTAB July 6, 2017) (precedential) (denying institution in view of a statutory disclaimer of all the challenged claims). Thus, we confine our analysis in this Decision to claims 3, 6, and 8–20, the challenged claims that have not been disclaimed.” slip op. at 3
- Other 314aDenied
“Patent Owner filed a Brief on Discretionary Denial, and Petitioner filed a brief in opposition. Papers 10 and 18. The Director considered the briefing and determined that discretionary denial was not warranted. Paper 21.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“at the critical time “would have had a Bachelor of Science degree in electrical engineering or a similar discipline, along with 2–3 years of professional experience working with (e.g., researching, designing, or teaching) monolithic 3D structures and NAND memory devices, or an equivalent level of skill, knowledge, and experience (e.g., an advanced degree may replace some of the professional experience).” Pet. 27 (citing Ex. 1003 ¶¶ 34–38). Petitioner further asserts that a POSITA “would have been aware of and generally knowledgeable about 3D NAND’s structure, how it is manufactured, and its component parts.” Id. Patent Owner does not provide any such assessment in its Preliminary Response. Prelim. Resp. 8; Ex. 2007 ¶ 22 (reserving the right to opine as to an alternative level of a POSITA). For purposes of this Decision, we adopt Petitioner’s proposed level of ordinary skill, as it appears to be consistent with the specification of the ’322 patent and the prior art of record.” slip op. at 8
Claim construction§ 103 obviousnessDiscretionary denialcites KSR · GrahamPatents in suitUS 11,581,322 - PTAB · Jul 24, 2025 · IPR2025-00190 · APJ Kimberly Mcgraw · IPR · Institution
Instituted IPR on all challenged claims and grounds after finding a reasonable likelihood that claim 5 would have been obvious over Dong.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“§ 42.4(a), we may only institute an inter partes review when “the information presented in the petition . . . and any response . . . shows that there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” 35 U.S.C. § 314(a); see also 37 C.F.R. § 42.108(c). Based upon our review of the present record, Petitioner has sufficiently shown a reasonable likelihood it will prevail with respect to at least one of the challenged claims. Accordingly, we institute an inter partes review as to all challenged claims.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“Petitioner contends that a person of ordinary skill in the art (“POSITA”) would have had a had a bachelor’s degree in electrical engineering or a similar discipline, along with 2–3 years of professional experience working with (e.g., researching, designing, or teaching) NAND memory devices (including issues relating to the operation, e.g., programming, of said devices), or an equivalent level of skill, knowledge, and experience (e.g., an advanced degree may replace some of the professional experience). Pet. 22 (citing Ex. 1004 ¶¶ 40–42). Petitioner also asserts that a POSITA would have been aware of and generally knowledgeable about NAND memory’s structure and fabrication, its component parts, how it operates, and how it is controlled. Id. at 22–23 (citing Ex. 1004 ¶ 41). Patent Owner does not take a position on the level of ordinary skill in the art at this stage of the proceeding. Prelim. Resp. 12–13; see also Ex. 2006 ¶ 35 (applying Petitioner’s definition of a POSITA to the opinions set forth in the declaration but reserving the right to opine to an alternative level of a POSITA). For purposes of this Decision, we adopt Petitioner’s definition of a POSITA as it appears consistent with the level of ordinary skill in the art that is reflected by the prior art of record.” slip op. at 13
- Claim Construction › Intrinsic evidence (Phillips canons) › Preamble limiting or notPreamble limitingDecided for petitioner
“Because the preambles of independent claims 5 and 11 provide antecedent basis for the word line limitations recited in the body of their respective claim, we treat the preambles of claims 5 and 11 as limiting. See Deere & Co. v. Bush Hog, LLC, 703 F.3d 1349, 1358 (Fed. Cir. 2012) (stating “a preamble phrase that provides antecedent basis for a claim limitation generally limits the scope of the claim”). The parties are invited to address whether the preamble is limiting if they so choose, to the extent permitted by our rules.” slip op. at 15
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITAPlain and ordinary meaningDecided for patent owner
“one memory portion above or below another portion establishes a relative top and bottom. For example, claim 5 is directed to a “program method of memory” that requires a second portion formed above the first portion. A second memory portion that is formed above a first memory portion would be on top of the first portion. Given that the claims themselves identify relative vertical locations of the memory portions (i.e., second memory portion is above the first portion), it follows that claim terms referring to the top and bottom of word lines within the memory portions also refer to relative vertical locations of the word lines within the memory portions. Thus, we understand the plain and ordinary meaning of claim language referring to first and second memory portions that comprise word lines “from bottom to top” to mean that the word lines of the memory portions are arranged vertically from the bottom end of the memory portion toward the top of the memory portion (i.e., from bottom to top). Our understanding that the term “from bottom to top” refers to the vertical arrangement of word lines in the memory portions from bottom to top and not from source end to drain end is supported by the ’941 patent Specification, which does not refer to source or drain side of the word lines. See generally Ex. 1001. Rather, the ’941 patent illustrates and describes figures of memory devices having word lines arranged vertically from bottom to top. For example, Figures 1–11 each depict “a memory” having vertically arranged word lines. See id. at 2:37–55, Figs. 1–11. The Specification describes embodiments with first, second, and/or third memory portions as including various word lines “from bottom to top” and that the memory portions are formed above or below each other, thus supporting that the claim term “from bottom to top” is used according to its plain and ordinary meaning of from bottom to top and not from source side to drain side. See, e.g., id. at 1:45–50, 1:55–60, 2:1–7, 2:14–18, 2:64–3:3, 3:46–48.” slip op. at 17
Claim construction§ 103 obviousnesscites Phillips · KSR · GrahamPatents in suitUS 11,568,941 - PTAB · Jun 10, 2025 · IPR2025-00098 · APJ Michael T Cygan · IPR · Institution
The Board instituted IPR on claims 1–4, 6–10, 12–13, 16–18, 23–26, 28, 30, and 32 on all asserted grounds, finding a reasonable likelihood that claim 1 would have been obvious over Chae.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“1. Legal Standards “In an [inter partes review], the petitioner has the burden from the onset to show with particularity why the patent it challenges is unpatentable.” Harmonic Inc. v. Avid Tech., Inc., 815 F.3d 1356, 1363 (Fed. Cir. 2016) (citing 35 U.S.C. § 312(a)(3) (requiring inter partes review petitions to identify “with particularity . . . the evidence that supports the grounds for the challenge to each claim”)); see also 37 C.F.R. § 42.104(b) (requiring a petition for inter partes review to identify how the challenged claim is to be construed and where each element of the claim is found in the prior art patents or printed publications relied upon). Anticipation “requires that every element and limitation of the claim was previously described in a single prior art reference, either expressly or inherently, so as to place a person of ordinary skill in possession of the invention.” Sanofi-Synthelabo v. Apotex, Inc., 550 F.3d 1075, 1082 (Fed. Cir. 2008). Anticipation also requires that a reference discloses “all of the limitations arranged or combined in the same way as recited in the claim.” Net MoneyIN, Inc. v. VeriSign, Inc., 545 F.3d 1359, 1371 (Fed. Cir. 2008).” slip op. at 9
- PTAB / AIA Trials › Real party in interest / privityDecided for petitioner
“Even assuming, arguendo, that the “Chinese government” or YMTC Holding constitute an unnamed RPI, Patent Owner does not sufficiently show that the failure identify the RPI is a reason to decline to institute this proceeding. Patent Owner has not asserted that a statutory bar or other 7 Patent Owner refers to the “Chinese government” as an unnamed RPI but does not identify what the “Chinese government” is. See, e.g., Prelim. Resp. 3–5 (referring to “China’s State Council”), 6 (municipal governments), 7–8 (identifying the seven shareholders of YMTC Holding as “state-owned enterprises”), 8 (stating the actual controller of the Yangtze River Industrial Investment Group is the “administration of Wuhan East Lake High-tech Development Zone”), 8 (stating the actual controller of the Yangtze River Industrial Group is the “Hubei Provincial State-owned Assets Supervision and Administration Commission”). 8 More particularly, Patent Owner identifies YMTC’s parent as Yangtze Memory Technologies Holding Co., Ltd. (“YMTC Holding” or “YMTH”). Prelim. Resp. 7 (citing Ex. 2021 (“YMTC’s Corporate Disclosure Statement), 2). estoppel would apply to either the Chinese government or YMTC Holding in this proceeding. 35 U.S.C. § 315(b); SharkNinja Operating LLC v. iRobot Corp., IPR2020-00734, Paper 11, 18 (PTAB Oct. 6, 2020) (precedential); Lumentum Holdings, Inc. v. Capella Photonics, Inc., IPR2015-00739, Paper 38 at 6 (PTAB Mar. 4, 2016) (precedential) (stating that a petition may be corrected, including adding a real party in interest, without assigning a new filing date); see also Paper 9 (granting Petitioner’s unopposed motion to amend its mandatory notices to add a subsidiary of YMTI as an RPI without changing the filing date). Indeed, in Unified Patents, LLC v. MemoryWeb, LLC, the Director instructed that the precedential SharkNinja decision held that it “best serves the Office’s interests in cost and efficiency to not resolve an RPI issue when it would not create a time bar or estoppel under 35 U.S.C. § 315 in that proceeding.” Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413, Paper 76 at 4 (PTAB May 22, 2023) (“Unified Patents”) (vacating the Board’s RPI determination in the Final Written Decision as not necessary to resolve the proceeding, such as a time bar under § 315(b) or estoppel under 35 U.S.C. § 315(e)). Here, as neither the Chinese government nor YMTC Holding have been sued for patent infringement, Patent Owner has not shown that a determination of whether the Chinese government or YMTC Holding are an RPI, or are in privity with Petitioner, would impact the underlying proceeding or result in a time bar or estoppel. As such, we do not address Patent Owner’s RPI argument. We have also considered Patent Owner’s contention that the Chinese government may file additional IPR proceedings through other Chinese semiconductor companies, such as Fujian Jinhua Integrated Circuit Co., Ltd., if this petition is denied or unsuccessful and that real party in interest provisions seek to protect patent owners from harassment via “successive petitions by the same or related parties.” Prelim. Resp. 25; see also Unified Patents¸ Paper 76 at 5 (noting Petitioner’s argument that a non-binding advisory opinion on RPI would prejudice the asserted RPI parties by prejudging the issue without their participation). Concerns that future petitions may be filed by parties that are the same or related to Petitioner may be addressed in any such future proceeding. See Patent Trial and Appeal Board Consolidated Trial Practice Guide (Nov. 2019)9 (“Consolidated TPG”), 55–63; General Plastic Co., Ltd. v. Canon Kabushiki Kaisha, IPR2016-01357, Paper 19 at 15–18 (PTAB Sept. 6, 2017) (precedential) (recognizing the “potential for abuse of the review process by repeated attacks on patents” and setting forth factors to consider in exercising discretion on instituting inter partes review as to “follow-on” petitions challenging the same patent previously challenged in an inter partes review proceeding). As such, we do not deny institution for Petitioner’s alleged failure to list all RPIs.” slip op. at 19
- Other 314aInstitution denied discretionary otherDenied
“We are not persuaded by Patent Owner’s arguments. To date, the Director has not provided any guidance as to when a panel should deny institution based on foreign policy or national security implications, applicable to the facts presented here. To the contrary, the USPTO has expressly determined that Board panels, in considering discretionary denial sought in a Preliminary Response filed on or before March 26, 2025, may not consider such factors. FAQs for Interim Processes for PTAB Workload Management, FAQ 5, https://www.uspto.gov/patents/ptab/faqs/interim-processes-workload-management (stating, “The panel will not address any new factors outlined in the Process Memorandum”). Accordingly, we decline to exercise discretion to deny institution for this requested reason.” slip op. at 22
- Skill levelSkill level petitioner adoptedOther
“time it was made, we consider the level of ordinary skill in the pertinent art at the time of the invention. Graham, 383 U.S. at 17. Petitioner contends that a person of ordinary skill in the art (“POSITA”) would have had a Bachelor’s degree in electrical engineering, materials science, or physics, or a closely related field, along with at least two years of experience in semiconductor fabrication and that a higher level of education might make up for less experience, and vice versa. Pet. 10 (citing Ex. 1003 ¶¶ 57–58). At this stage of the proceeding, Patent Owner neither responds to Petitioner's proposed definition, nor provides a definition of its own. See Prelim. Resp. Petitioner’s undisputed proposed definition appears to be consistent with the cited prior art and the disclosure of the ’996 patent, and we adopt it for purposes of this Decision.” slip op. at 10
Claim construction§ 103 obviousnessDiscretionary denialcites Phillips · KSR · GrahamPatents in suitUS 8,945,996 - PTAB · Jun 10, 2025 · IPR2025-00189 · APJ Jo-Anne M Kokoski · IPR · Institution
The Board instituted IPR of claim 19 on all asserted grounds because Petitioner showed a reasonable likelihood of prevailing; it declined discretionary denial based on the parallel district court case.
RulingsInstitution decision- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Denied
“proceeding was temporarily stayed pending consideration of Petitioner’s motion for a stay in light of the filed inter partes review proceedings. Prelim. Resp. 32 (citing Ex. 2001; Ex. 2003). Subsequently, Patent Owner notified the Board that the parallel proceeding “was stayed pending resolution of related IPR proceedings.” Paper 10, 1; see also Ex. 3001 (district court order granting motion to stay case). Accordingly, we determine that Fintiv factor 1 weighs strongly against exercising our authority to deny institution. See Snap, Inc. v. SRK Technology, Inc., IPR2020-00820, Paper 15 at 9 (PTAB Oct. 21, 2020) (precedential) (“The granting of a stay pending inter partes review has weighed strongly against exercising discretion to deny institution under NHK.”).” slip op. at 8
- Skill levelSkill level petitioner adoptedDecided for petitioner
“(“POSITA”) “would have had a bachelor’s degree in electrical engineering or a similar discipline, along with 2–3 years of professional experience working with (e.g., researching, designing, or teaching) 3D memory devices, or an equivalent level of skill, knowledge and experience (e.g., an advanced degree may substitute for professional experience).” Pet. 24–25 (citing Ex. 1003 ¶¶ 34–37). Petitioner further contends that the “POSITA would also have been aware of and generally knowledgeable about 3D memory’s structure, its component parts, and how it operates.” Id. at 25 (citing Ex. 1003 ¶¶ 34–37). Patent Owner “takes no position on the level of ordinary skill in the art” as this stage of the proceeding. Prelim. Resp. 6. Petitioner’s undisputed proposed definition appears to be consistent with the cited prior art and the disclosure of the ’666 patent, and we adopt it” slip op. at 12
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“C. Claim Construction We construe each claim “in accordance with the ordinary and customary meaning of such claim as understood by one of ordinary skill in the art and the prosecution history pertaining to the patent.” 37 C.F.R. § 42.100(b). Under this standard, claim terms are generally given their plain and ordinary meaning as would have been understood by a person of ordinary skill in the art at the time of the invention and in the context of the entire patent disclosure. Phillips v. AWH Corp., 415 F.3d 1303, 1313 (Fed. Cir. 2005) (en banc). Only those terms in controversy need to be construed, and only to the extent necessary to resolve the controversy. Realtime Data, LLC v. Iancu, 912 F.3d 1368, 1375 (Fed. Cir. 2019). Based on the record before us, we determine that no claim term requires express construction for purposes of this Decision.” slip op. at 13
- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“Institution of an inter partes review is authorized by statute when “the information presented in the petition . . . and any response . . . shows that there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” 35 U.S.C. § 314; see also 37 C.F.R. § 42.4. For the reasons discussed below, we determine that Petitioner establishes a reasonable likelihood of prevailing with respect to the unpatentability of claim 19. We also determine that the arguments and evidence of record do not support discretionary denial of the Petition under 35 U.S.C. § 314. Accordingly, we institute an inter partes review of claim 19 of the ’666 patent.” slip op. at 2
Claim construction§ 103 obviousnessDiscretionary denialcites PhillipsPatents in suitUS 11,145,666 - PTAB · Jun 10, 2025 · IPR2025-00118 · APJ Jo-Anne M Kokoski · IPR · Institution
Instituted review of claims 1–14 on all asserted obviousness grounds based on Yoshinaga, Saint, and Haralabidis.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“Institution of an inter partes review is authorized by statute when “the information presented in the petition . . . and any response . . . shows that there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” 35 U.S.C. § 314 (2018); see also 37 C.F.R. § 42.4 (2023). For the reasons discussed below, we determine that Petitioner establishes a reasonable likelihood of prevailing with respect to the unpatentability of at least one claim of the ’164 patent. We also determine that the arguments and evidence of record do not support discretionary denial of the Petition under 35 U.S.C. § 314(a). Accordingly, we institute an inter partes review of claims 1–14 of the ’164 patent.” slip op. at 2
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundReasonable expectation foundInstituted
“At this stage of the proceeding, Petitioner, with supporting testimony from Dr. Foty, provides adequate reasons why using the pads immediately next to the saved areas in Yoshinaga’s Figure 6 as reference pads would have been a “predictable use of prior art elements according to their established functions.” KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 401 (2007); see Pet. 30–34 (and evidence cited therein). We acknowledge that Patent Owner disagrees, but find that Patent Owner’s disagreement raises issues of fact that are best resolved on a full trial record.” slip op. at 17
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Decided for petitioner
“(district court order granting motion to stay case). Accordingly, we determine that Fintiv factor 1 weighs strongly against exercising our authority to deny institution. See Snap, Inc. v. SRK Technology, Inc., IPR2020-00820, Paper 15 at 9 (PTAB Oct. 21, 2020) (precedential) (“The granting of a stay pending inter partes review has weighed strongly against exercising discretion to deny institution under NHK.”)” slip op. at 36
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“§ 42.100(b). Under this standard, claim terms are generally given their plain and ordinary meaning as would have been understood by a person of ordinary skill in the art at the time of the invention and in the context of the entire patent disclosure. Phillips v. AWH Corp., 415 F.3d 1303, 1313 (Fed. Cir. 2005) (en banc). Only those terms in controversy need to be construed, and only to the extent necessary to resolve the controversy. Realtime Data LLC v. Iancu, 912 F.3d 1368, 1375 (Fed. Cir. 2019).” slip op. at 8
Claim construction§ 103 obviousnessDiscretionary denialcites Phillips · KSRPatents in suitUS 10,879,164 - PTAB · Jun 4, 2025 · IPR2025-00117 · APJ Michael T Cygan · IPR · Institution
The Board instituted IPR on claims 1–19, finding a reasonable likelihood of success on the asserted obviousness grounds and declining discretionary denial.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“review. See 35 U.S.C. § 314 (2018); 37 C.F.R. § 42.4(a) (2023). The standard for instituting an inter partes review is set forth in 35 U.S.C. § 314(a), which provides that an inter partes review may not be instituted “unless . . . there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” For the reasons discussed below, we determine that Petitioner establishes a reasonable likelihood of prevailing with respect to the unpatentability of at least one claim of the ’711 patent. We also determine that the arguments and evidence of record do not support discretionary denial of the Petition under 35 U.S.C. § 314(a). Accordingly, we institute an inter partes review of claims 1–19 of the ’711 patent.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“at the critical time “would have had a bachelor of science degree in electrical engineering or a similar discipline, along with 2-3 years of professional experience working with (e.g., researching, designing, or teaching) monolithic 3D structures and NAND flash memory devices, or an equivalent level of skill, knowledge, and experience (e.g., an advanced degree may replace some of the professional experience).” Pet. 27 (citing Ex. 1003 ¶ 42). Petitioner further asserts that a POSITA “would have been aware of” slip op. at 5
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“Neither party proposes any express claim construction at this stage of the proceeding. Pet. 26; Prelim. Resp. 8. Based on the record before us, we determine that no claim term requires express construction for purposes of this Decision.” slip op. at 6
- Obviousness (§103) › Graham factors (scope of art, differences, level of skill)Instituted
“Petitioner’s assertions as to claim 1. Patent Owner contests Petitioner’s assertion that Kim in view of the knowledge of the prior art teaches “wherein each step comprises a gate stack disposed over a dielectric layer,” Prelim. Resp. 9. We first focus on this disputed limitation.” slip op. at 7
Claim construction§ 103 obviousnessDiscretionary denialcites Phillips · KSR · GrahamPatents in suitUS 10,672,711 - SML Intelligent Inventory Solutions LLC / SML (USA) Inc. v. Adasa Inc.Institution deniedPTAB · May 20, 2025 · IPR2025-00125 · APJ Devon Zastrow Newman · IPR · Institution
The Board denied institution because Petitioner did not show a reasonable likelihood that any challenged claim was unpatentable under the asserted obviousness grounds.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsInstitution denied
“review. 35 U.S.C. § 314(b) (2018); 37 C.F.R. § 42.4(a) (2019). An inter partes review may not be instituted “unless . . . the information presented in the petition . . . shows that there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” 35 U.S.C. § 314(a). Upon consideration of the Petition, the Preliminary Response, and the evidence of record, we conclude that Petitioner has not established a reasonable likelihood of prevailing on its assertion that at least one challenged claim is unpatentable based on the grounds advanced here. Accordingly, we deny institution of inter partes review of claims 1–20 of the ’967 patent.” slip op. at 2
- Skill levelSkill level petitioner adoptedOther
“VSI Int’l Inc., 174 F.3d 1308, 1324 (Fed. Cir. 1999) (citing Graham v. John Deere Co., 383 U.S. 1, 17–18 (1966); Ryko Mfg. Co. v. Nu-Star, Inc., 950 F.2d 714, 718 (Fed. Cir. 1991)). Petitioner adopts the following definition of a person of ordinarily skill in the art (hereafter, sometimes “POSITA”) of the ’967 patent proposed by Patent Owner in the Avery Dennison litigation: [A]t least a bachelor’s degree in electrical engineering, computer science, or computer engineering, or a related discipline, and at least five years of experience which would consist of, A, designing, developing, evaluating and/or using RFID or other AIDC [automatic identification and data capture] technologies in inventory management, unique object identification, and/or security; or B, studying and conducting research related to RFID technologies and using RFID and other AIDC technologies in inventory management, unique object identification, and/or security. Pet. 6 (citing Ex. 1030, 707:3–13). Patent Owner does not offer a definition of an ordinarily skilled artisan of the ’967 patent at this time. See generally Prelim. Resp. Based on the information presented, we find that the asserted prior art itself is sufficient to demonstrate the level of skill in the art at the time of the invention. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001) (prior art itself can reflect the appropriate level of ordinary skill in the art). To the extent a more precise definition is required, we apply Petitioner’s unopposed proposed definition for purposes of determining whether to institute review because it is consistent with the disclosures of the asserted prior art references and the problems addressed in the ’967 patent.” slip op. at 17
- Prior constructionPrior construction adoptedDecided for patent owner
“Petitioner proposes the following claim constructions: “an allocated block of serial numbers” as “a pre-authorized range of binary serial numbers” and “uniquely corresponding” as the “term’s plain and ordinary meaning, consistent with the articulation of the plain and ordinary meaning” in the Avery Dennison litigation. Pet. 8–12. As to the remaining claim terms, Petitioner applies the district court’s constructions in the Avery Dennison litigation. Id. at 12 (citing Ex. 1028). Patent Owner applies the following constructions that were entered during in the Avery Dennison litigation: “object class information space” as “data field within the memory of the RFID integrated circuit chip for information identifying the class of an object, such as a company prefix, item reference code, partition value, and/or filter value,” “unique serial number space” as “data field within the memory of the RFID integrated circuit for information identifying a unique serial number,” “being assigned a limited number of most significant bits” as “includes a limited, predefined sequence at the leading end,” “remaining bits of lesser significance” as “the remaining lower order bits at the trailing end,” “is encoded with one serial number instance” as “has stored within it one serial number instance,” “an allocated block of serial numbers” as “a pre-authorized range of serial numbers,” and “uniquely corresponding” as its plain and ordinary meaning. Prelim. Resp. 32. For purposes of resolving whether to institute trial, we adopt and apply the interpretations stated in the district court’s claim construction order and applied by the Federal Circuit on appeal, Ex. 1028.11 See 55 F.4th 900, 908–909, 912–913 (Fed. Cir. 2022) (citing the district court’s claim construction order).” slip op. at 18
- Obviousness (§103) › Motivation to combine / reasonable expectation of successNot reached
“IBM200 and Kuhno would have made it obvious for a POSITA to commission RFID tags with unique serial numbers partitioned into MSBs and bits of lesser significance. See Pet. 34–39; Ex. 1005 ¶¶ 167–176. However, on this record, Petitioner has not sufficiently shown that the POSITA, having read IBM200 and Kuhno, would have been led to create a serial number space in which the limited number of “most significant bits” uniquely corresponds to those bits assigned to an allocated block of serial numbers, as recited in limitation [f].” slip op. at 25
Claim construction§ 103 obviousnessDiscretionary denialcites Phillips · KSR · GrahamPatents in suitUS 9,798,967 - PTAB · May 16, 2025 · IPR2025-00034 · APJ Michael T Cygan · IPR · Institution
The Board instituted IPR on claims 2–4, 7–15, 17, 18, and 20 under §103 over Nakajima; it found a reasonable likelihood of success for claims 3, 4, 9, 10, 18, and 20.
RulingsInstitution decision- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Denied
“exists that one may be granted if a proceeding is instituted. Fintiv, Paper 11 at 6–7. Petitioner asserts that factor 1 is neutral. Pet. 10. Patent Owner contends that factor 1 favors denial because, although an opposed motion to stay has been filed in the parallel litigation, it is unlikely to be granted. Prelim. Resp. 31. However, subsequent to filing its Preliminary Response, Patent Owner notified the Board that the parallel court proceeding has been stayed pending the outcome of the inter partes review. Paper 13, 1. The granting of a stay pending inter partes review “has weighed strongly against exercising discretion to deny institution.” Snap, Inc. v. SRK Technology LLC, IPR2020-00820, Paper 15 at 9 (P.T.A.B. October 16, 2019) (precedential). The stay of the parallel proceeding results in factor 1 weighing strongly against exercising discretion to deny institution.” slip op. at 7
- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“We determine that Petitioner has not shown a reasonable likelihood of success of proving its obviousness assertions for claim 2 because of insufficiently explained and inadequately supported reasons to combine the knowledge in the art with Nakajima to teach or suggest claim 2’s “dummy channel” limitation. The deficiencies in Petitioner’s showing extend to claim 11, which recites a “dummy channel” limitation, and its dependent claims 12–15 and 17. Ex. 1001, 21:35–22:19, 22:22–26. Consequently, Petitioner has not shown it is likely to succeed on its obviousness challenges to claims 2, 11–15, and 17.” slip op. at 19
- Skill levelSkill level petitioner adoptedDecided for petitioner
“B. Level of Ordinary Skill in the Art Petitioner asserts that a person of ordinary skill in the art (“POSITA”) at the critical time “would have had a bachelor of science degree in electrical engineering or a similar discipline, along with 2–3 years of professional experience working with (e.g., researching, designing, or teaching) monolithic 3D structures and NAND flash memory devices, or an equivalent level of skill, knowledge, and experience (e.g., an advanced degree may replace some of the professional experience).” Pet. 25 (citing Ex. 1003 ¶¶ 34–38). Petitioner further asserts that a POSITA “would have been aware of and generally knowledgeable about 3D NAND’s structure, how it is manufactured, and its component parts.” Id. Patent Owner does not provide any such assessment in its Preliminary Response. Prelim. Resp. 8. For purposes of this Decision, we adopt Petitioner’s proposed level of ordinary skill, as it appears to be consistent with the specification of the ’254 patent and the prior art of record.” slip op. at 13
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededDecided for petitioner
“Claim Construction Neither party proposes any express claim construction. Pet. 35 (stating claims should receive their “plain and ordinary meaning”); Prelim. Resp. 8 (stating that Petitioner’s challenges fail “under any reasonable construction”). In an inter partes review, we construe a patent claim “using the same claim construction standard that would be used to construe the claim in a civil action under 35 U.S.C. [§] 282(b).” 37 C.F.R. § 42.100(b). Under this standard, the words of a claim generally are given their “ordinary and customary meaning,” which is the meaning the term would have to a person of ordinary skill at the time of the invention, in the context of the entire patent including the specification. Phillips v. AWH Corp., 415 F.3d 1303, 1312–13 (Fed. Cir. 2005) (en banc). We determine no terms require express construction for purposes of this Decision.” slip op. at 14
Claim construction§ 103 obviousnessDiscretionary denialcites KSR · GrahamPatents in suitUS 10,879,254 - Micron Technology, Inc. v. Yangtze Memory Technologies Company, Ltd.Institution deniedPTAB · May 8, 2025 · IPR2025-00035 · APJ Michael T Cygan · IPR · Institution
The Board denied institution because Micron did not show a reasonable likelihood that claims 1–5, 8–13, or 15 were obvious over either asserted reference combination.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsInstitution denied
“review. See 35 U.S.C. § 314 (2018); 37 C.F.R. § 42.4(a) (2023). The standard for instituting an inter partes review is set forth in 35 U.S.C. § 314(a), which provides that an inter partes review may not be instituted “unless . . . there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” For the reasons given below, on this record, Petitioner has not established a reasonable likelihood that it would prevail in showing the unpatentability of at least one of challenged claims 1–5, 8–13, and 15 of the ’604 patent. Accordingly, we do not institute an inter partes review of the ’604 patent.” slip op. at 2
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation not foundNot shown unpatentable
“We agree that Petitioner has not shown that a person having ordinary skill in the art at the critical time would have been motivated to replace the wordlines in the staircase region with dielectric material if the result is that one of the memory cell arrays becomes unavailable. Petitioner relies upon two usable arrays for its combination, emphasizing Thimmegowda as desirably enabling “a single conductive contact (e.g., 334a) to bidirectionally drive memory cells in the memory arrays on either side of the bridge”; i.e., both the left and right memory cell blocks. Pet. 26 (citing Ex. 1003 ¶¶ 81– 83; Ex. 1005, 9:49–51; 7:61–64), 41 (stating that in the combination, “there Similarly, Thimmegowda emphasizes that the purpose of its bridge is to connect first and second blocks, which desirably replaces prior connection methods that consumed silicon real estate and interfered with the goal of shrinking the sizes or increasing the densities of memory arrays. Ex. 1005, 1:11–25, 3:20–28; Ex. 1003 ¶¶ 79–80 (“allowing a single staircase to access both memory arrays”), 83 (“a stairstep electrically couples to a respective gate layer (wordline) in both of the blocks on the right and left”). Dr. Banerjee also underscores the importance of using both arrays, stating that the combination relies on “Thimmegowda’s bridge and array architecture (to drive two memory arrays with one wordline via)” as part of the reasonable expectation of success in such a combination Ex. 1003 ¶¶ 102, 113. Petitioner and Dr. Banerjee rely upon the motivation of reducing punch-through, because punch-through causes “yield loss”; i.e., loss of the usability of the wordlines connected by the punch-through. Ex. 1003 ¶ 103; Pet. 35. However, such advantage is premised on retaining both arrays, and neither Petitioner nor Dr. Banerjee explains how the advantages of reducing punch-through should be weighed against a disadvantage of losing access to one of the two arrays. Nor do Petitioner and Dr. Banerjee discuss how the advantages of metal gate replacement should be weighed against losing access to one of the two arrays.4 Patent Owner’s declarant, Dr. Giapis, attests to the undesirability of such a combination, in which one array 4 Additionally, the claims of the ’604 patent do not require a metal conductor portion; Petitioner does not explain why gate replacement to a metal conductor from a polysilicon conductor, described as used in Lee’s “memory device at large,” (Pet. 40) is a benefit associated with Lee’s finger teaching relevant to the claims. Ex. 2007 ¶¶ 50–54. We agree with Patent Owner that the advantage of preventing individual wordlines from becoming unusable because of punchthrough would be outweighed by the loss of half of the wordlines if one of the memory arrays were to become unavailable because its connections were removed.” slip op. at 15
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Not reached
“III. DISCRETION UNDER 35 U.S.C. § 314(a) Patent Owner argues that the Board should exercise its discretion to deny institution under 35 U.S.C. § 314(a) based on the factors set forth in Apple Inc. v. Fintiv, Inc., IPR2020-00019, Paper 11 at 6 (Mar. 20, 2020) additional briefing. Papers 12, 14. Because we determine that Petitioner has not shown a reasonable likelihood of success on the merits of its obviousness contentions, we need not resolve whether Fintiv would require discretionary denial of the Petition.6” slip op. at 23
- Skill levelSkill level petitioner adoptedOther
“at the critical time “would have had a bachelor of science degree in electrical engineering or a similar discipline, along with 2-3 years of professional experience working with (e.g., researching, designing, or teaching) 2 We apply AIA 35 U.S.C. § 103 to the ’604 patent because it was filed after, and never claimed the benefit of an effective filing date before, March 16, 2013. Ex. 1001, codes (22), (63); Pet. 6. 3 Neither party presents evidence or arguments regarding objective evidence of non-obviousness. Pet. 89; Prelim. Resp. level of skill, knowledge, and experience (e.g., an advanced degree may replace some of the professional experience).” Pet. 34 (citing Ex. 1003 ¶¶ 40–43). Petitioner further asserts that a POSITA “would have been aware of and generally knowledgeable about 3D NAND’s structure, its component parts, how it operates, and how it is controlled.” Id. Patent Owner does not provide any such assessment in its Preliminary Response. Prelim. Resp. 10. For purposes of this Decision, we adopt Petitioner’s proposed level of ordinary skill, as it appears to be consistent with the specification of the ’604 patent and the prior art of record.” slip op. at 6
Claim construction§ 103 obviousnessDiscretionary denialcites Phillips · KSR · GrahamPatents in suitUS 11,450,604 - PTAB · Apr 22, 2025 · IPR2024-00910 · APJ Jo-Anne M Kokoski · IPR · Rehearing
The Board denied Micron’s rehearing request, leaving institution denied because the Petition did not show a reasonable likelihood that claims 7–10 were obvious over Park.
RulingsRehearing decision- RehearingRehearing, deniedDenied
“II. STANDARD OF REVIEW When rehearing a decision on institution, we do not review the merits of the decision de novo, but instead review the decision for an abuse of discretion. 37 C.F.R. § 42.71(c). An abuse of discretion may be determined “if a decision is based on an erroneous interpretation of law, if a factual finding is not supported by substantial evidence, or if the decision represents an unreasonable judgment in weighing relevant factors.” Arnold Partnership v. Dudas, 362 F.3d 1338, 1340 (Fed. Cir. 2004) (citing In re Gartside, 203 F.3d 1305, 1315–16 (Fed. Cir. 2000)). The party requesting rehearing has the burden to show that the decision should be modified. 37 C.F.R. § 42.71(d). Additionally, the request for rehearing “must specifically identify all matters the party believes the Board misapprehended” slip op. at 2
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed board ownDecided for patent owner
“dummy source structure might not even be an inoperable structure,” and therefore “the ’872 Patent does not use ‘dummy’ to exclude the dummy source structure from being an operable, functioning element.” Ex. 1003 ¶ 85 (citing Ex. 1001, 5:41–43, 16:63–66). In support of his testimony, Dr. Banerjee points to the Specification’s teaching that “[i]n some embodiments, one or more dummy source structures are in contact with the substrate and may provide interconnect between the 3D memory device and peripheral devices” (Ex. 1001, 5:41–43), and “[w]hen conductive materials are used to fill dummy source hole 212 (e.g., contact 224), the dummy source structure 246 may function as an interconnect to connect 3D memory device 100 with other peripheral devices” (id. at 16:63–66), which we considered and relied upon in construing “dummy source structure” in the Decision. Dec. 11–13. None of the functions identified by Dr. Banerjee, however, relate to whether the dummy source structure would function as a source to the memory cells. Specification consistently describes that function as an interconnect with other peripheral devices, and does not teach or suggest that the dummy source structure may function to provide source to the memory cells. See Ex. 1001, 5:40–43 (“In some embodiments, one or more dummy source structures are in contact with the substrate and may provide interconnect between the 3D memory device and peripheral devices.”), 11:46–48 (“In some embodiments, dummy source structures 178 may function as interconnects to connect 3D memory device 100 with other peripheral devices.”), 16:63–66 (“When conductive materials are used to fill dummy source hole 212 (e.g., contact 244), the dummy source structure 246 may function as an interconnect to connect 3D memory device 100 with other peripheral devices.”). Our construction of “dummy source structure” is consistent with the Specification, and does not foreclose the dummy source structure from being operational, for example, as an interconnect to peripheral devices. Nor is it inconsistent with the Specification’s teaching that “[i]n some embodiments, dummy source structure 246 may not connect to channel structures in the inner region.” See Req. 11 (citing Ex. 1001, 16:38–44). In the case where the dummy source structure connects with the channel structures, the other end may connect with peripheral devices, or may be a dead end. Thus, even if the dummy source structure is operable as an interconnect to connect the 3D memory device with other peripheral devices, it does not follow that a dummy source structure would function as an interconnect to a supply that provides source to the memory cells. For these reasons, we are not persuaded that we abused our discretion in our construction of the term “dummy source structure.”” slip op. at 5
- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsInstitution denied
“(Paper 14, “Request” or “Req.”) of our Decision (Paper 13, “Decision” or “Dec.”) denying institution of an inter partes review of claims 7–10 (“the challenged claims”) of U.S. Patent No. 10,861,872 B2 (Ex. 1001, “the ’872 patent”). The Request challenges our determination that the information presented in the Petition did not establish a reasonable likelihood of showing that claims 7–10 would have been obvious over the teachings of Park.1 Dec. 19–23.” slip op. at 2
Claim constructionPatents in suitUS 10,861,872
Holdings, summaries, rulings, issues, outcomes, winners and claim constructions shown for a decision were generated by a large language model reading the opinion. They are a guide to the decision, not the decision. Confirm every one against the court's own text before relying on it. Outcomes read from the patent owner’s side. Party names are extracted from the decision and are missing on about 900 short Director denials and scans, which carry the trial number instead.