Illumitex Patent Portfolio Overview v15 - Pluritas · Illumitex was founded in 2005 by imaging and...

Copyright ©2013 Pluritas, LLC.1

Patent Portfolio Overview

Illumitex

LED Extraction Efficiency & Chip Shaping Technology

Rob [email protected](415) 963-3790 ext. 101

Mitch [email protected](415) 963-3790 ext. 103

Myron [email protected](415) 963-3790 ext. 104

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


Opportunity Overview Illumitex was founded in 2005 by imaging and optics industry

veterans.

The Company’s current business is vibrant and focused on LED total solutions including fixtures and optics. The IP being offered for sale is being divested since LED chip manufacturing is a business that is no longer being pursued.

The Illumitex chip-level IP incorporates fundamental physics principles to maximize light extraction from the source. By extracting and directing photons at the die level, Illumitex delivers more usable light to the intended target while consuming less energy.

This sale represents a unique opportunity for a strategic buyer to acquire lab-tested technology with very solid patent protection in a critical area of the rapidly growing LED market.


Portfolio SummaryPatent Portfolio DetailsIllumitex Assets For Sale

Market Application and Strategic Opportunity• The worldwide LED chips market is expected to reach $8.5 billion by 2014

(http://www.marketsandmarkets.com/Market-Reports/led-chips-229.html)• Leading exemplary vendors: Nichia, Samsung, Osram, LG, Seoul Opto, Cree, Philips/Lumileds, Sharp,

Toyoda Gosei, Everlight, GE, Micron, BridgeLux, SemiLEDs, Epistar, 3M, Rambus, Panasonic/Matsushita, TSMC, Rohm & Haas, Showa Denko, Toshiba, etc.(Representative market participants. Not an opinion, claim, or representation as to infringement.)

• 6 issued US patents• 1 US provisional application• 5 patent families total• Foreign equivalents from Europe, China,

Japan, Taiwan, and South Korea• Forward References from:

• Hon Hai Precision Industry Co., Ltd.

• Osram Opto Semiconductors• Samsung Electronics

• No encumbrances

• US 7,789,531 (Priority: 10/2/2006)• US 7,829,358 (Priority: 2/8/2008)• US 8,087,960 (Priority: 10/2/2006)• US 8,115,217 (Priority: 12/11/2008)• US 8,217,399 (Priority: 8/1/2008)• US 8,263,993 (Priority: 2/8/2008)• US 61/753,653 (Provisional)• Foreign equivalents


Sorted by Patent Family (1 of 2)Illumitex’s IP Portfolio

Pat/Pub Number

Patent Family Tech Cluster Title

Priority Date

US Patent Family

Members

Ex‐US Patent Family

Members

US 7,829,358 A LED EmitterLayer ShapingSystem and method for emitter layer shaping 2/8/2008

US 8,263,993 (Divisional)

EP2240968A1WO2009100358A1KR2010122485ACN101939849ATW200941773AJP2011512037A

US 8,263,993 A LED EmitterLayer ShapingSystem and method for emitter layer shaping 2/8/2008

US 7,829,358 (Parent) See ‘358 Patent

US 61/753,653 (Provisional) B

LED Micro‐Mirrors

Hybrid mirror for higher extraction efficiency from bottom‐emitting LEDs 1/17/2013

None None

US 7,789,531 C

LED Substrate Shaping (Exit

Face & Sidewalls)

LED system and method 10/2/2006

US 8,087,960US20090275266A1

(Abandoned)US20090275157A1

(Abandoned)

EP2070123A2WO2009158573A1WO2009158574A1WO2008042351B1KR2009064474ACN101553928BTW201009921ATW201007993ATW200824161AJP2010506402A

US 8,087,960 C

LED Substrate Shaping (Exit

Face & Sidewalls)

LED system and method 10/2/2006

US 7,789,531US20090275266A1

(Abandoned)US20090275157A1

(Abandoned)

See ‘531 Patent


Sorted by Patent Family (2 of 2)Illumitex’s IP Portfolio

Pat/Pub Number

Patent Family Tech Cluster Title

Priority Date

US Patent Family

Members

Ex‐US Patent Family

Members

US 8,115,217 D LED Packaging Systems and methods for packaging light‐emitting diode devices 12/11/2008None WO2010068886A1TW201034256A

US 8,217,399 E

LED Emitter & SubmountStructure Photon

Tunneling

Photon tunneling light emitting diodes and methods 8/1/2008

None

EP2351111A1WO2010014610A1KR2011049843ACN102150285ATW201013994AJP2011530173A


Comprehensive IP Illumitex’s IP includes proprietary technology covering different parts

of an LED:

Image Source:Illumitex, Fig. 4 of US 8,115,217.

Image Source: Illumitex.

Patent Family D –

LED Packaging:

US 8,115,217

Submount

GaN

Flip-Chip LED

Sapphire or SiC

Patent Family C –

LED Substrate

Shaping (Exit Face &

Sidewalls):US 7,789,531US 8,087,960

Patent Family A –

LED Emitter Layer

Shaping:US 7,829,358US 8,263,993Patent

Family E –LED Emitter & Submount

Structure Photon

Tunneling:US 8,217,399

Patent Family B –LED Micro-

Mirrors:US Prov.

61/753,653


Technology Overview• Light extraction from an LED chip depends on:

• Minimizing the number of reflections (N) in the LED structure• Maximizing reflectivity of all surfaces• Minimizing absorption losses of all materials

• Rough estimate of Losses:

• Optimized structures doesall of this:

• Sidewall TIR:R = 100%

• Sidewall shapedirects light intoescape cone: N = 1

Absorption Losses Compound! sReflection#1 RAbsorption

Lossless reflection at sidewalls

All rays strike exit face and exit!

All rays strike exit face and exit!

LED Emitter

light


LED Emitter Layer ShapingUS 7,829,358 & US 8,263,993LED Emitter Layer Shaping (Patent Family A)

Shaped emitters achieve highest possible light extraction efficiencies (LEE)• Minimize internal reflections• Control beam shape into substrate

or encapsulant

Key Achievements• Light extraction improvements up to

50% demonstrated• Fabrication process developed• Performance matches advanced

optical modeling• Comparable test data from

prototype test wafers available


LED Micro-MirrorsUS Prov. 61/753,653

LED Micro-Mirrors (Patent Family B)

Replace conventional Ag mirror with combination of Ag & dielectric mirrors

• Higher reflectivity = higher extractionefficiency

Key Achievements• Dielectric stacks can give 99+% reflectance• Potential add-on process to improve conventional vertical or flipchip

device designs• Demonstrated 10-15% higher extraction efficiency than PSS• Production-ready• Comparative performance data available

P‐GaNMQW‐active

n‐GaN

SiO2

TiO2Ag

pCon.

nContact

Absorption Losses Compound! sReflection#1 RAbsorption


LED Substrate Shaping (Patent Family C)

Shaped substrates achieve greaterefficiency than previous LEDs• The height of the substrate can be selected

to limit the critical angle of rays incidenton the exit surface

• The exit face has at least 70% of aminimum area needed to conserveradiance for a desired half-angle of lightprojected from the shaped substrate

Key Achievements• Theoretical efficiency of up to 89% (89% of the light entering the

substrate is emitted in the desired half-angle with 11% Fresnel loss)

LED Substrate Shaping(Exit Face & Sidewalls)US 7,789,531 & US 8,087,960


LED PackagingUS 8,115,217LED Packaging (Patent Family D)

Improved LED Packaging of PatentFamily C achieves overall brightness• The size of a packaged LED defines

the LED’s brightness (lumens)• A phospor plate is on top or within

the housing• The rays of light exit the exit face

with negligible side emissionthrough the side walls of thesubstrate

Key Achievements• LED does not need secondary

optics


LED Emitter & SubmountStructure Photon TunnelingUS 8,217,399Photon Tunneling (Patent Family E)

Photon Tunneling increases light that makes it into air• Photons do not become trapped in the substrate• The LED layer structure has a thickness that is less than the

wavelength of the light produced

Key Achievements• Geometric modification

of the GaN and/orsubstrate is not neededto extract light


Illumitex In The News

Sources (left to right): http://www.illumitex.com/news/news-illumitex-announces-new-ceo-and-funding/; http://ledsmagazine.com/press/33543; http://www.photonics.com/Article.aspx?AID=48616.


Applicable MarketRepresentative Market Participants1

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


Market TrendsIllumitex IP Applies to Two LargeRelated Growing Markets

• Packaged LED Market: The worldwide packaged LED market (does not include LED chips) grew nearly 10% from $11 billion in 2010 to $12.5 billion in 2011 (the packaged LED market sorted by commercial application is shown on the immediate right)

• Chip LED Market: The worldwide LED chips market was roughly $3 billion in 2009 and is estimated to grow to $8.5 billion by 2014 (see lower right) – this is the applicable market for Illumitex’s IP

Source: LEDs Magazine, http://ledsmagazine.com/features/9/3/2 andhttp://www.marketsandmarkets.com/Market-Reports/led-chips-229.html

$‐

$1,000

$2,000

$3,000

$4,000

$5,000

$6,000

$7,000

$8,000

$9,000

2009 2010 2011 2012 2013 2014

Worldwide Chip LED Market (in $ mil)


Patent Landscape AnalysisThe following four slides represent analysis performed on patents inthe LED technology space to illustrate the relationship of the IllumitexIP to those of major market participants.

Methodology

• Pluritas first performed keyword and semantic searches to identify top relevant vendors within the Illumitex IP space as illustrated in Slide 17.

• Pluritas then worked with IP Checkups, a research firm that provides technical analysis, to graphically map the patent landscape of top vendors by tech area as illustrated in Slide 18.

• Next, by accessing IP Checkups’ LED database, Pluritas identified the vendors with “gaps” as illustrated in Slide 19 – as these companies could find this Illumitex IP useful in enhancing their patent portfolios.


Patent LandscapeLeading LED Vendors1

• Pluritas performed keyword and semantic searches to identify top vendors with patents relevant to Illumitex’s IP. Using this data and collaborating with IP Checkups, the following pie chart was built illustrating the leading patent holders:

Source: 7,494 patents from IP Checkups’ LED Database.


3M1%

Acuity0%

BridgeLux1%

Cree6%

Epistar2%

Everlight1%GE

2% Goldeneye0%

LG8%

Nichia4%

Osram5%

Panasonic11%

Philips/Lumileds9%

Rohm & Haas4%

Samsung11%

SemiLEDs1%

Sharp10%

Seoul Opto3%

Showa Denko5%

Toshiba10%

Toyoda Gosei5%

Efficient LED Technology: Patent Landscape (United States)

Illumitex

3M

Acuity

BridgeLux

Cree

Epistar

Everlight

GE

Goldeneye

LG

Nichia

Osram

Panasonic

Philips/Lumileds

Rohm & Haas

Samsung

SemiLEDs

Sharp

Seoul Opto

Showa Denko

Toshiba

Toyoda Gosei


Patent LandscapeTech Breakdown1

• The LED IP landscape for 10 Assignees is mapped by tech area below. Philips/Lumileds and LG have IP similar to the ‘993, ‘358, ‘960, and ‘531 Illumitex patents. Cree, LG, and Panasonic have IP similar to the ‘217 and ‘399 Illumitex patents.

Source: IP Checkups’ LED Database.

Patent Family AUS 8,263,993US 7,829,358

Patent Family CUS 8,087,960US 7,789,531

Patent Family DUS 8,115,217

Patent Family EUS 8,217,399


Note: In the patent map, patents (dots) are clustered based on thematic similarity. Dense areas of similar patents, are represented as snow-capped peaks, while relatively sparse areas are represented as blue lakes or oceans. The absolute positioning of each peak and valley is not important, only relative location – the closer together the peaks are located on the map, the more closely the corresponding patents are related.


Patent LandscapeTech Breakdown1

• The table below illustrates Illumitex’s IP alongside the leading LED vendors (sorted by tech area). Cells highlighted in yellow indicate areas where vendors have fewer than 20 patents in a relevant Illumitex tech area. For example, Nichia, Sharp, Toyoda Gosei, Everlight, GE, Acuity, BridgeLux, SemiLEDs, Epistar, 3M, Goldeneye, and Rohm & Haas fewer patents than their competitors in areas relevant to the Illumitex patents.

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

Within LED Space ‐ From IP Checkups (PatentCam) Pats Pubs Pats Pubs Pats Pubs Pats Pubs

Illumitex 6 3 9 1 0 1 0 4 0 3 0Nichia 286 217 503 22 2 12 14 161 121 80 51Samsung 1564 1682 3246 119 76 242 191 209 312 283 398Osram 550 508 1058 124 89 34 39 176 203 58 42LG 925 499 1424 197 44 143 43 109 80 154 67Seoul Opto 158 317 475 31 28 32 34 68 151 58 103Cree 133 385 518 53 53 34 35 243 186 137 65Philips/Lumileds 975 1114 2089 156 147 49 62 292 204 179 143Sharp 810 527 1337 31 55 20 53 444 188 263 142Toyoda Gosei 335 243 578 29 19 2 8 238 160 139 87Everlight 61 89 150 24 11 15 8 5 9 7 15GE 296 235 531 52 37 13 18 58 46 34 37Acuity 4 2 6 2 1 0 0 0 0 0 0BridgeLux 73 80 153 16 20 15 14 25 18 20 10SemiLEDs 31 10 41 3 1 0 3 20 5 25 8Epistar 130 99 229 8 4 17 8 75 77 63 433M 183 165 348 30 8 16 11 39 42 12 17Goldeneye 23 31 54 2 2 4 0 12 23 6 11Panasonic/Matsushita 970 570 1540 128 56 52 50 470 247 200 120Rohm & Haas 342 321 663 36 34 12 15 148 135 122 86Showa Denko 200 248 448 55 64 21 11 152 192 132 159Toshiba 754 619 1373 151 93 51 69 339 247 177 158Total 8809 7964 16773

Solid State Lighting ‐> LED Technology ‐> Chemistry &

Materials ‐> Epitaxy

Solid State Lighting ‐> LED Technology ‐> Chemistry & Materials ‐> Substrates

Company US Pats US Pubs TotalSolid State Lighting ‐>

Fixtures

Solid State Lighting ‐> LED Control ‐> Power

Management ‐> Distribution



Patent Landscape ConclusionConclusion1

• Philips/Lumileds and LG have IP similar to Illumitex Patent Families “A” and “C”.

• Cree, LG, and Panasonic have IP similar to the Illumitex Patent Familities “D” and “E”.

• Nichia, Sharp, Toyoda Gosei, Everlight, GE, Acuity, BridgeLux, SemiLEDs, Epistar, 3M, Goldeneye, and Rohm & Haas fewer patents than their competitors in areas relevant to the Illumitex patents.



Transaction Parameters and Objectives• Illumitex is seeking the sale of these assets

• No Encumbrances

• Seller requires a Grant Back license

• The identity of all inquiries and bidders is confidential except as modifiedby a transaction between the parties


Diligence Resources Available• Technical and IP Diligence calls are available with

Pluritas experts who have completed reviews of the IPassets and are knowledgeable about the markets towhich they apply


For More Information

• For more information and/or executionof an inquiry- and identity-protectingNDA, please contact:

Rob AronoffManaging [email protected](415) 963-3790 x101

Myron [email protected](415) 963-3790 x104

Mitch [email protected](415) 963-3790 x103

Craig CarothersGeneral [email protected](415) 963-3790 x102


Pluritas Profile

We provide arms-length sell side transaction services to allowners of IP assets. We provide arms-length buy sidetransaction services to a select group of Corporate Clients.

We expertly navigate the risks and nuances for all partiesinvolved with transacting IP, yielding a 'safer' and morecomfortable transaction climate for all participants.

We also strongly differentiate ourselves by our track recordof success, as well as by integrating seasoned professionalswith deep industry, technical and IP expertise into everyengagement.

Pluritas is a transaction advisory firm specializing in divestitures,acquisitions, and mergers where Intellectual Property (IP) is amajor component of the transaction.


NOTICETHIS PRESENTATION DOES NOT CONSTITUTE AN OFFER FOR SALE OFASSETS OR SECURITIES FOR ILLUMITEX OR AN OFFER FOR, ORSOLICITATION OF, A LICENSE OF ANY KIND. IN MAKING A DECISIONREGARDING THE ILLUMITEX OPPORTUNITY, POTENTIAL PURCHASERSMUST RELY ON THEIR OWN EXAMINATION OF THE INTELLECTUALPROPERTY RIGHTS AND OTHER ASSETS INCLUDING BUT NOT LIMITED TOTHE TITLE, VALUE, MERITS AND RISKS INVOLVED. THERE IS NOASSURANCE THAT THESE INTELLECTUAL PROPERTY RIGHTS WILL BEUPHELD. PLURITAS MAKES NO REPRESENTATION CONCERNING THEVALIDITY OF THE INTELLECTUAL PROPERTY HEREIN. ADDITIONALLY,THESE MATERIALS ARE SOLELY ATTRIBUTABLE TO PLURITAS AND DONOT NECESSARILY REPRESENT THE VIEWS OR OPINIONS OF ILLUMITEX.NOTHING IN THIS DOCUMENT SHALL CONSTITUTE OR BE INTERPRETED ASLEGAL ANALYSIS REGARDING THE SCOPE OF THE PATENTS OR OTHERINTELLECTUAL PROPERTY RIGHTS. SIMILARLY, NOTHING INCLUDED INTHIS DOCUMENT SHALL BE USED TO INTERPRET, DEFINE, OR OTHERWISELIMIT THE SCOPE AFFORDED THE ASSOCIATED INTELLECTUAL PROPERTYRIGHTS.


Appendix: Exemplary Claims


U.S. Patent No. 7,789,531 – Representative Claim

Representative Claim

‘531 Patent, Claim 1

An LED comprising:a quantum well region operable to generate light; anda shaped substrate having an interface to receive light generated by the quantum well region,wherein light generated by the quantum well region traverses the interface, the shapedsubstrate comprising:

an exit face opposite from and a distance from the interface, wherein the substrate isshaped so that a portion of the light entering the shaped substrate through the interface willexit the shaped substrate through the exit face and wherein the exit face has at least 70% ofa minimum area necessary to conserve radiance for a desired half-angle of light projectedfrom the shaped substrate; and

a set of sidewalls, wherein each sidewall is positioned and shaped so that at least amajority of rays having a straight transmission path from the interface to that sidewall canreflect through total internal reflection to the exit face with an angle of incidence at the exitface at less than or equal to a critical angle at the exit face.




’358 Patent, Claim 1

A method of shaping an emitter layer of the LED, comprising:determining an exit area (b) and an emitter area (a) of a miniature emitter, wherein the exitarea (b) has an exit face in a first geometric configuration and wherein the emitter area (a)has a quantum well region in a second geometric configuration;

determining a minimum height (h) of the miniature emitter utilizing the exit area (b) and theemitter area (a);

removing matter from an emitting material or growing the emitting material according to thefirst geometric configuration, the second geometric configuration, and the minimum height (h)to form a shaped portion having one or more miniature emitters meeting the minimum height(h); and

shaping sidewalls of the miniature emitters, wherein each sidewall is positioned and shaped tocause at least a majority of rays having a straight transmission path from the emitter area tothat sidewall to reflect to the exit face with an angle of incidence at the exit face at less thanor equal to a critical angle at the exit face.





A method of shaping an LED comprising:providing a wafer comprising a substrate and one or more layers for a quantum well region of the LED;grinding the substrate to form a shaped substrate portion of the LED;

wherein the shaped substrate portion is shaped to comprise:an exit face opposite from and a distance from an interface with the to receive light generated by a quantum well

region of the LED, the exit face having a size being at least 70% of a minimum area necessary to conserve radiancefor a desired half-angle of light projected from the shaped substrate; and

a set of sidewalls, wherein each sidewall is positioned and shaped so that at least a majority of rays having astraight transmission path from the interface to that sidewall reflect through total internal reflection to the exit facewith an angle of incidence at the exit face of less than or equal to a critical angle at the exit face; wherein the methodis performed by performing steps in the order of:

(a) determining boundary conditions for the shaped substrate portion of the LED, wherein the boundary conditionscomprise the size of the exit face of the shaped substrate portion of the LED and the distance between the exit faceand the interface between the shaped substrate portion and the quantum well region of the LED;

(b) determining the shapes and positions of the set of sidewalls of the shaped substrate portion of the LED; and(c) shaping the shaped substrate portion of the LED.




‘217 Patent, Claim 1

A packaged light-emitting diode (LED) device, comprising:a housing having a cavity;a phosphor plate on top or within the housing;a submount attached to the housing, wherein the submount comprises metal traces,vias, or a combination thereof; and

at least one LED chip residing in the cavity of the housing between the phosphor plateand the submount and comprising a substrate and a light emitting region, wherein thesubstrate comprises a side wall and an exit face on top of the side wall, wherein all orsubstantially all rays of light emitting from the light emitting region exit the exit face withnegligible or substantially negligible side emission through the side wall of thesubstrate, and wherein the light emitting region is connected to the metal traces of thesubmount inside the housing through an electrically conductive contact area.





A light-emitting diode (LED) device comprising:an LED layer structure comprising a quantum well layer adapted to generate light havinga wavelength, a p-doped alloy layer on a first side of the quantum well layer, an n-doped alloy layer on a second side of the quantum well layer obverse from the first sideand between the quantum well layer and a medium;

an electrode electrically connected to the p-doped alloy layer; andan electrode electrically connected to the n-doped alloy layer;wherein the combined thickness of the LED layer structure on the second side of thequantum well layer including the n-doped alloy layer is thinner than the wavelength oflight that the quantum well layer is adapted to generate to allow light generated by thequantum well layer to photon tunnel to the medium.





An LED, comprising:a base substrate; andan emitter layer on a surface of the substrate configured to emit light in an emission half angle,wherein the emitter layer has a shaped portion comprising:

an emitter area;an exit area a height from the emitter area;sidewalls running from the emitter area to the exit area, wherein each of the sidewalls comprises

a plurality of areas at different angles relative to the emitter area and wherein each sidewall ispositioned and shaped to cause at least a majority of rays having a straight transmission path fromthe emitter area to that sidewall to reflect to the exit area with an angle of incidence at the exit areaat less than or equal to a critical angle at an emitter layer to substrate boundary; and

wherein the size of the exit area and shapes of the sidewalls are configured so that at least 60%of the light generated in the emitter layer exits the emitter layer into the substrate in the emissionhalf angle.

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Illumitex Patent Portfolio Overview v15 - Pluritas · Illumitex was founded in 2005 by imaging and...

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