Patent Trial and Appeal Board Statistics 5/31/2016
5026 Total AIA Petitions* Cumulative from 09/16/2012
4538 90%
460 9%
Narrative: 28 1%
This pie chart shows the total number of cumulative AIA petitions filed to date broken out by trial type (i.e., IPR, CBM, and PGR).
*Data current as of: 5/31/2016
Total IPR Petitions
Total CBM Petitions
Total PGR Petitions
2
Number of AIA Petitions Filed by Fiscal Year by Type IPR
CBM
PGR
1737
Narrative:
1310
This bar graph depicts the number of AIA petitions filed each fiscal year, with each bar showing the filings for that fiscal year by trial type (i.e., IPR, CBM, and PGR).
960
*Data current as of: 5/31/2016 177
149 11
2
FY 2014
FY 2015
78
15
FY 2016*
3
Number of IPR Petitions Filed by Month*
Number of CBM Petitions Filed by Month*
300
184 200
131
179
159 120
116
177 102
164 100
182 131 139 145
165 117
136
106
131 138
132 96
107
136
114
100 0
50 45 40 35 30 25 20 15 10 5 0
19
16 6
10 8
6
6 3
4 2
0
0
0
1
1
0
1
0
1
0
1
0
0
4
3
2 0
0
0
1
1
0
1
2
160 160 120 120
26
16
16 13 15 14 13 7
9
6
9
5
11 10
5
17
3
195195 192192 193 193 177 180180 176176 174 177 174 146 145 142142 142 141 146 145 144 142144 141 126 126 123 117 123 116116 115115 117
190 190 157 150 150
80 80 40 40 0
Narrative:
These line graphs display the number of IPR, CBM, and PGR petitions filed each month and the total number of all petitions filed each month from the effective date of the AIA trial provisions.
*Data current as of: 5/31/2016
12 10 10
Number Number of of TOTAL TOTAL Petitions Petitions Filed Filed by by Month* Month*
Number of PGR Petitions Filed by Month* 240 240 200 200
10
21
4
150 150 99 99
118 118
148 148 135 135
1053 Total AIA Petitions in FY 16* (Technology Breakdown)
264 25%
1897 Total AIA Petitions in FY 15* (Technology Breakdown) 443 23%
90 5% 167 9%
57 5%
4 0%
1,193 63%
124 12% 593 56%
15 2%
1489 Total AIA Petitions in FY 14* (Technology Breakdown) 318 21%
962 65%
This pie chart shows the total number of AIA petitions filed in the current fiscal year to date as well as the number and percentage of these petitions broken down by technology.
114 8% 92 6%
Electrical/Computer - TCs 2100, 2400, 2600, 2800 Mechanical/Business Method - TCs 3600, 3700 Chemical - TC 1700 Bio/Pharma - TC 1600 Design - TC 2900
Narrative:
3 0%
*Data current as of: 5/31/2016 5
IPR IPR -- Number Number of of Patent Patent Owner Owner Preliminary Responses by Fiscal Preliminary Responses by Fiscal Year Year 223 202202 829829
12
223
18 159
1,326 1,326
843
159 843
2014 FY 2015 FY 2015 FY FY 2014 FY 2016*FY 2016*
Filed Filed
CBM - Number of Patent Owner Preliminary Responses by Fiscal Year
Waived/Not Waived/Not Filed Filed
PGR - Number of Patent Owner Preliminary Responses by Fiscal Year 1 1
116
FY 2014
Filed
154
FY 2015
3 58
FY 2016*
Waived/Not Filed
Narrative:
These three sets of bar graphs show the number of patent owner preliminary responses filed and waived/not filed each fiscal year in IPR, CBM, and PGR proceedings.
9 6
*Data current as of: 5/31/2016
0
FY 2014
Filed
FY 2015
FY 2016*
Waived/Not Filed
6
Percent of Petitions Instituted, by Technology Narrative:
This chart shows the percentage of petitions instituted of all decisions on petition, by technology area.
Mechanical/Business Methods (689 of 952 petitions)
Electrical/Computer (1527 of 2138 petitions)
Design (8 of 13 petitions)
Chemical (177 of 235 petitions)
*Data current as of: 5/31/2016
Biotechnology/Pharma (176 of 288 petitions)
0%
10%
20%
30%
40%
50%
60%
70%
80%
7
IPR - Number of Decisions On Institution Per Fiscal Year by Outcome
CBM - Number of Decisions On Institution Per Fiscal Year by Outcome
116 49
15 801 557
426
10
1
91
610
91 30
FY 2014 FY 2015
Instituted
Joinders
Denials
FY 2014
3
0
FY 2015
Instituted
FY 2016*
Instituted
Joinders
Denials
Narrative:
These three sets of bar graphs show the number of decisions on institution by fiscal year broken out by trials instituted (including joinders) and trials denied in IPR, CBM, and PGR proceedings. A trial that is instituted in part is counted as an institution in these bar graphs.
7 0
FY 2015
37
29
FY 2016*
PGR - Number of Decisions On Institution Per Fiscal Year by Outcome
0
43
300
193 FY 2014
6
2
*Data current as of: 5/31/2016
FY 2016*
Joinders
Denials
8
IPR - Settlements
CBM - Settlements
275 32
189 145 106
104
21 121
14
10
6
FY 2014
FY 2015
Settled Before Institution
FY 2016* Settled After Institution
PGR - Settlements
Settled Before Institution
FY 2016* Settled After Institution
These three sets of bar graphs show settlements in AIA trials broken down by settlements that occurred prior to institution and settlements that occurred after institution in IPR, CBM, and PGR proceedings.
0
0
FY2014
FY 2015
Settled Before Institution
FY 2015
Narrative:
2
0
FY 2014
11
0
0
*Data current as of: 5/31/2016
FY 2016* Settled After Institution
9
Disposition of IPR Petitions Completed to Date* 3114
Total Petitions
Narrative:
1534 Trials Not Instituted
931
Petitions Denied
This graph shows a stepping stone visual depicting the outcomes for all IPR petitions filed to-date that have reached a final disposition.
1580 Trials Instituted
603
Terminated Before Institution Decision: 546Settled 38Dismissed 19 Request for Adverse Judgement
592
Terminated After Institution Decision: 432Settled 18 Dismissed 142Request for Adverse Judgement
704 Trials
All Instituted Claims Unpatentable (23% of Total Petitions, 45% of Trials Instituted, 71% of Final Written Decisions)
*Data current as of: 5/31/2016
988
Trials Completed (Reached Final Written Decision)
142 Trials
Some Instituted Claims Unpatentable (5% of Total Petitions, 9% of Trials Instituted, 14% of Final Written Decisions)
142 Trials
No Instituted Claims Unpatentable (5% of Total Petitions, 9% of Trials Instituted, 14% of Final Written Decisions)
10
Disposition of CBM Petitions Completed to Date* 355
Total Petitions
Narrative:
113
Petitions Denied
This graph shows a stepping stone visual depicting the outcomes for all CBM petitions filed to-date that have reached a final disposition.
192 Trials Instituted
163 Trials Not Instituted
50
Terminated Before Institution Decision: 48 Settled 2 Dismissed 0 Request for Adverse Judgement
70
Terminated After Institution Decision: 48 Settled 8 Dismissed 13 Request for Adverse Judgement
96 Trials
All Instituted Claims Unpatentable (27% of Total Petitions, 50% of Trials Instituted, 79% of Final Written Decisions)
*Data current as of: 5/31/2016
122
Trials Completed (Reached Final Written Decision)
23 Trials
Some Instituted Claims Unpatentable (6% of Total Petitions, 12% of Trials Instituted, 19% of Final Written Decisions)
3 Trials
No Instituted Claims Unpatentable (1% of Total Petitions, 2% of Trials Instituted, 2% of Final Written Decisions)
11
Disposition of PGR Petitions Completed to Date* 4
Total Petitions
2
Petitions Denied
Narrative:
0 Trials Instituted
4 Trials Not Instituted
2
Terminated Before Institution Decision: 2 Settled 0 Dismissed 0 Request for Adverse Judgement
0
Terminated After Institution Decision: 0 Settled 0 Dismissed 0 Request for Adverse Judgement
0 Trials
All Instituted Claims Unpatentable (0% of Total Petitions, 0% of Trials Instituted, 0% of Final Written Decisions)
This graph shows a stepping stone visual depicting the outcomes for all PGR petitions filed to-date that have reached a final disposition.
0
Trials Completed (Reached Final Written Decision)
0 Trials
Some Instituted Claims Unpatentable (0% of Total Petitions, 0% of Trials Instituted, 0% of Final Written Decisions)
0 Trials
No Instituted Claims Unpatentable (0% of Total Petitions, 0% of Trials Instituted, 0% of Final Written Decisions)
*Data current as of: 5/31/2016 12
Narrative:
IPR Petitions Terminated to Date* 2322 Claims Found Patentable by PTAB in Final Written Decision 6109 Claims Remaining Patentable (Not Subject to Final Written Decision) 1963 Claims Cancelled or Disclaimed by Patent Owner 26373 Claims Challenged but Not Instituted 55330 Claims Not Challenged
102694 47364
20991 Total Number of Claims Available to be Challenged within 3114 Petitions
Claims Challenged
Claims Instituted
10597 Claims Found Unpatentable by PTAB in Final Written Decision
This visual contains four cylinders. The first cylinder shows the total number of claims available to be challenged in the IPR petitions filed. The second cylinder shows the number of claims actually challenged and not challenged. The third cylinder shows the number of claims on which trial was instituted and not instituted. The fourth cylinder shows the total number claims found unpatentable in a final written decision, the number of claims canceled or disclaimed by patent owner after institution, the number of claims remaining patentable (not subject to a final written decision), and the number of claims found patentable by the PTAB. Note: “Completed” petitions include terminations (before or after a decision on institution) due to settlement, request for adverse judgment, or dismissal; final written decisions; and decisions denying institution. *Data current as of: 5/31/2016
13
CBM Petitions Terminated to Date* 73 Claims Found Patentable by PTAB in Final Written Decision 960 Claims Remaining Patentable (Not Subject to Final Written Decision)
301 Claims Cancelled or Disclaimed by Patent Owner 3688 Claims Challenged but Not Instituted 5766 Claims Not Challenged
12659 6893 3205 Total Number of Claims Available to be Challenged within 355 Petitions
Claims Challenged
Claims Instituted
1871 Claims Found Unpatentable by PTAB in Final Written Decision
Narrative:
This visual contains four cylinders. The first cylinder shows the total number of claims available to be challenged in the CBM petitions filed. The second cylinder shows the number of claims actually challenged and not challenged. The third cylinder shows the number of claims on which trial was instituted and not instituted. The fourth cylinder shows the total number claims found unpatentable in a final written decision, the number of claims canceled or disclaimed by patent owner after institution, the number of claims remaining patentable (not subject to a final written decision), and the number of claims found patentable by the PTAB. Note: “Completed” petitions include terminations (before or after a decision on institution) due to settlement, request for adverse judgment, or dismissal; final written decisions; and decisions denying institution. *Data current as of: 5/31/2016
14
Trial Outcomes for Instituted Claims, by Technology Narrative:
This chart shows claim outcomes for instituted trials, by technology area.
Mechanical/Business Methods (7086 claims)
Electrical/Computer (13954 claims)
Note: Claims involved in instituted trials that settle or are dismissed are not depicted. Accordingly, a bar may not add up to 100%.
Design (5 claims)
Chemical (1850 claims)
*Data current as of: 5/31/2016
Biotechnology/Pharma (1301 claims)
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Claims Found Unpatentable by PTAB in Final Written Decision Claims Cancelled or Disclaimed by Patent Owner Claims Found Patentable by PTAB in Final Written Decision
15