Patent Trial and Appeal Board Statistics 12/31/2015

2

Narrative: 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: 12/31/2015

3953 90%

408 9%

15 1%

4376 Total AIA Petitions*

Total IPR Petitions Total CBM Petitions Total PGR Petitions

Cumulative from 09/16/2012

3

*Data current as of: 12/31/2015

Narrative: 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).

FY 2014 FY 2015 FY 2016*

1310

1737

375

177 149 26 2 11 2

Number of AIA Petitions Filed by Fiscal Year by Type IPR CBM PGR

4

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: 12/31/2015

101 60 54 76

143 131 184

116 159

120

179

102

177

100

164 131 139 145

182

117 165

136 106

131 138

0

100

200

300

Number of IPR Petitions Filed by Month*

11 9 12

22 14

19

6 10

16 21

16 13 15 14 16 13 7

26

9 6 9 5

11 10 5

05

101520253035404550

Number of CBM Petitions Filed by Month*

0 0 0 0 0 0 0 0

1 1

0

1

0

1

0

1

0

3

2

0

3

0 0

1 1

0

1

2

3

Number of PGR Petitions Filed by Month*

112

69 66 98

157 150

190

126

176 142

195

116

192

115

180 145 146

174 193

123

177 141

117 142 144

0

40

80

120

160

200

240Number of TOTAL Petitions Filed by Month*

5

Narrative: 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.

*Data current as of: 12/31/2015

962 65%

318 21% 114

8%

92 6%

3 0%

1489 Total AIA Petitions in FY 14* (Technology Breakdown)

1,193 63%

443 23% 90

5%

167 9%

4 0%

1897 Total AIA Petitions in FY 15* (Technology Breakdown)

206 51%

113 28%

21 5%

62 16%

1 0%

403 Total AIA Petitions in FY 16* (Technology Breakdown)

Electrical/Computer - TCs 2100, 2400, 2600, 2800Mechanical/Business Method - TCs 3600, 3700Chemical - TC 1700Bio/Pharma - TC 1600Design - TC 2900

6

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.

*Data current as of: 12/31/2015

FY 2014 FY 2015 FY 2016*

829 1,326

377

202

223

73

IPR - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 2014 FY 2015 FY 2016*

116 154

22

18

12

0

CBM - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 2014 FY 2015 FY 2016*

6 5 0

1 0

PGR - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

7

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.

*Data current as of: 12/31/2015

FY 2014 FY 2015 FY 2016*

557 801

250

15

116

27 193

426

111

IPR - Number of Decisions On Institution Per Fiscal Year by Outcome

Instituted Joinders Denials

FY 2014 FY 2015 FY2016*

91 91

14

1 10

2 30

43 23

CBM - Number of Decisions On Institution Per Fiscal Year by Outcome

Instituted Joinders Denials

FY 2014 FY 2015 FY 2016*

0

3 4

0 0 0

PGR - Number of Decisions On Institution Per Fiscal Year by Outcome

Instituted Joinders Denials

8

Narrative: 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.

*Data current as of: 12/31/2015

FY 2014 FY 2015 FY 2016*

106

275

65 104

189

31

IPR - Settlements

Settled Before Institution Settled After Institution

FY 2014 FY 2015 FY 2016*

21

14

3 6

32

0

CBM - Settlements

Settled Before Institution Settled After Institution

FY2014 FY 2015 FY 2016*

0

2

0 0 0 0

PGR - Settlements

Settled Before Institution Settled After Institution

9

Narrative: This graph shows a stepping stone visual depicting the outcomes for all IPR petitions filed to-date that have reached a final disposition.

*Data current as of: 12/31/2015 529 Trials

All Instituted Claims Unpatentable (22% of Total Petitions,

44% of Trials Instituted, 72% of

Final Written Decisions)

107 Trials Some Instituted

Claims Unpatentable (4% of Total

Petitions, 9% of Trials Instituted, 15% of

Final Written Decisions)

96 Trials No Instituted Claims Unpatentable (4% of Total Petitions, 8% of Trials Instituted, 13%

of Final Written Decisions)

732 Trials

Completed Reached Final

Written Decisions

2447 Total

Petitions

1204 Trials

Instituted

1243 Trials Not Instituted Petition Denied/

Settled/ Dismissed

472 Terminated During Trial

Settled/Dismissed/Request for

Adverse Judgment

Disposition of IPR Petitions Completed to Date*

10

Narrative: This graph shows a stepping stone visual depicting the outcomes for all CBM petitions filed to-date that have reached a final disposition.

*Data current as of: 12/31/2015 69 Trials

All Instituted Claims Unpatentable (25% of Total Petitions,

50% of Trials Instituted, 81% of

Final Written Decisions)

13 Trials Some Instituted

Claims Unpatentable (5% of Total

Petitions, 9% of Trials Instituted, 15% of

Final Written Decisions)

3 Trials No Instituted Claims Unpatentable (1% of Total Petitions, 2% of Trials Instituted, 4%

of Final Written Decisions)

85 Trials

Completed Reached Final

Written Decisions

280 Total

Petitions

138 Trials

Instituted

142 Trials Not Instituted Petition Denied/

Settled/ Dismissed

53 Terminated During Trial

Settled/Dismissed/Request for

Adverse Judgment

Disposition of CBM Petitions Completed to Date*

11

Narrative: This graph shows a stepping stone visual depicting the outcomes for all PGR petitions filed to-date that have reached a final disposition.

*Data current as of: 12/31/2015 0 Trials

All Instituted Claims Unpatentable (0% of Total Petitions, 0% of Trials Instituted, 0%

of Final Written Decisions)

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)

0 Trials

Completed Reached Final

Written Decisions

2 Total

Petitions

0 Trials

Instituted

2 Trials Not Instituted Petition Denied/

Settled/ Dismissed

0 Terminated During Trial

Settled/Dismissed/Request for

Adverse Judgment

Disposition of PGR Petitions Completed to Date*

12

Narrative: 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, 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: 12/31/2015

78711

36872

15987 7778

1523 Claims Found Patentable by PTAB in Final WrittenDecision

4903 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

1783 Claims Cancelled or Disclaimed by Patent Owner

20885 Claims Challenged but Not Instituted

41839 Claims Not Challenged

IPR Petitions Terminated to Date*

Claims Challenged

Claims Instituted

Claims Found Unpatentable by PTAB in Final Written Decision

Total Number of Claims Available to be Challenged within 2447 Petitions

13

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, 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: 12/31/2015

10496

5710

2547 1474

62 Claims Found Patentable by PTAB in Final WrittenDecision

834 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

177 Claims Cancelled or Disclaimed by Patent Owner

3163 Claims Challenged but Not Instituted

4786 Claims Not Challenged

CBM Petitions Terminated to Date*

Claims Challenged

Claims Instituted

Claims Found Unpatentable by PTAB in Final Written Decision

Total Number of Claims Available to be Challenged within 280 Petitions