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

May 2016

May 31, 2016 - 1053 Total AIA Petitions in FY 16*. (Technology Breakdown). Electrical/Computer - TCs 2100, 2400, 2600, 2800. Mechanical/Business Method ...

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