Patent Trial and Appeal BoardStatistics3/31/2017

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: 3/31/2017

613992%

5107%

511%

6700 Total AIA Petitions*

Total IPR Petitions Total CBM Petitions

Total PGR Petitions

Cumulative from 09/16/2012

3

*Data current as of: 3/31/2017

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 15 FY 16 FY 17*

1737

1565

996

149 94 3411 24 14

Number of AIA Petitions Filed by Fiscal Year by TypeIPR 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 for the last 2 years.

*Data current as of: 3/31/2017

131 139 145182

117165

136106

131 13896

132107

136114

166 155 136 148 149 154 145

237

128

183

0

100

200

300

Number of IPR Petitions Filed by Month*

137

26

9 6 95

11 105 3

12 10 1017

91 4 2 5 8 10

5 2 4

05

101520253035404550

Number of CBM Petitions Filed by Month*

10

32

0

3

0 01 1

0

6

12

4

1 1

34

1

5

1

4

0

3

0

2

4

6

8

10

Number of PGR Petitions Filed by Month*

145 146174

193

123

177141

117142 144

99

150118

148 135176

157 143 154 155 167 156

246

130

190

04080

120160200240280

Number 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 percentageof these petitions broken down by technology.

*Data current as of: 3/31/2017

1,19363%

44323% 90

5%

1679%

40%

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

93555%

40524%

1157%

21213%

161%

1683 Total AIA Petitions in FY 16* (Technology Breakdown)

62960%

21921%

677%

11611%

131%

1044 Total AIA Petitions in FY 17* (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: 3/31/2017

FY 15 FY 16 FY 17*

1,326 1,238661

223 239134

IPR - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 15 FY 16 FY 17*

15494

21

12

11

0

CBM - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 15 FY 16 FY 17*

6

19111

1

2

PGR - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

7

Narrative:This chart shows the percentage of petitions instituted of all decisions on petition, by technology area.

*Data current as of: 3/31/2017

63%

68%

42%

70%

72%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Biotechnology/Pharma (286 of 456 petitions)

Chemical (218 of 321 petitions)

Design (14 of 33 petitions)

Electrical/Computer (1988 of 2820 petitions)

Mechanical/Business Methods (876 of 1221 petitions)

Percent of Petitions Instituted, by Technology

8

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: 3/31/2017

FY 15 FY 16 FY 17*

801 871

416

116 77

58

426 444242

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

Instituted Joinders Denials

FY 15 FY 16 FY 17*

3

11

50

0

0

0

7

8

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

Instituted Joinders Denials

FY 15 FY 16 FY 17*

9151

11

10

6

043 45 16

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

Instituted Joinders Denials

9

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: 3/31/2017

FY 15 FY 16 FY 17*

275229

129

189 184

98

IPR - Settlements

Settled Before Institution Settled After Institution

FY 15 FY 16 FY 17*

2

0

2

0

1

2

PGR - Settlements

Settled Before Institution Settled After Institution

FY 15 FY 16 FY 17*

14 139

32

138

CBM - Settlements

Settled Before Institution Settled After Institution

10

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: 3/31/2017

Disposition of IPR Petitions Completed to Date*

829Terminated

After Institution Decision:

593 Settled25 Dismissed

211 Request for Adverse

Judgement

1317Petitions Denied

840Terminated

Before Institution Decision:

759 Settled54 Dismissed

27 Request for Adverse

Judgement

1577Trials Completed(Reached Final

Written Decision)

1029 TrialsAll Instituted Claims

Unpatentable (23% of Total Petitions, 43%of Trials Instituted,

65% of Final Written Decisions)

248 TrialsSome Instituted

Claims Unpatentable (5% of Total Petitions,

10% of Trials Instituted, 16% of

Final Written Decisions)

2157Trials Not Instituted

2406Trials

Instituted

300 TrialsNo Instituted Claims Unpatentable (7% of Total Petitions, 12%of Trials Instituted,

19% of Final Written Decisions)

4563Total

Petitions

11*Data current as of: 3/31/2017

81Terminated

After Institution Decision:

59 Settled9 Dismissed

13 Request for Adverse

Judgement

137Petitions Denied

66Terminated

Before Institution Decision:

60 Settled6 Dismissed

0 Request for Adverse

Judgement

162Trials Completed(Reached Final

Written Decision)

132 TrialsAll Instituted Claims

Unpatentable (30% of Total Petitions, 54%of Trials Instituted,

81% of Final Written Decisions)

24 TrialsSome Instituted

Claims Unpatentable (5% of Total Petitions,

10% of Trials Instituted, 15% of

Final Written Decisions)

203Trials Not Instituted

243Trials

Instituted

6 TrialsNo Instituted Claims Unpatentable 1% of Total Petitions 2% of Trials Instituted, 4%

of Final Written Decisions)

446Total

Petitions

Disposition of CBM Petitions Completed to Date*

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

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 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: 3/31/2017

t1

156096

70060

3277716688

5172 Claims Found Patentable by PTAB in Final WrittenDecision

8243 Claims Remaining Patentable (Not Subject toFinal Written Decision)

2674 Claims Cancelled or Disclaimed by Patent Owner

37283 Claims Challenged but Not Instituted

86036 Claims Not Challenged

IPR Petitions Terminated to Date*

Claims Challenged

Claims Instituted

Claims Found Unpatentableby PTAB in Final Written Decision

Total Number of Claims Available to be Challenged within 4563Petitions

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 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: 3/31/2017

15998

8762

40132357

190 Claims Found Patentable by PTAB in Final WrittenDecision

1164 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

302 Claims Cancelled or Disclaimed by Patent Owner

4749 Claims Challenged but Not Instituted

7236 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 446 Petitions

14

*Data current as of: 3/31/2017

Narrative:This chart shows claim outcomes for instituted trials, by technology area.

Note: Claims involved in instituted trials that settle or are dismissed are not depicted. Accordingly, a bar may not add up to 100%.

* Includes IPR and CBM trial outcomes

36%

62%

86%

55%

47%

7%

6%

0%

8%

9%

39%

13%

14%

14%

10%

0% 20% 40% 60% 80% 100%

Biotechnology/Pharma (2768claims)

Chemical (2509 claims)

Design (7 claims)

Electrical/Computer (21084claims)

Mechanical/Business Methods(10422 claims)

Trial Outcomes for Instituted Claims, by Technology

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