Q3 UPDATE: NOVEMBER 18, 2013

ABC PatentEdge™

The ABC PatentEdge™ is the only competitive patent intelligence solution specifically designed for the Advanced Battery market.

The Advanced Battery PatentEdge contains more than 200,000 patents from worldwide* authorities sorted into 200+ categories related to advanced battery technology.

When referring to the ABC PatentEdge™ report, consider the following:

Patent applications typically publish within 18 months of their filing date The ABC PatentEdge contains the following types of patent documents: US Published Applications, US Granted Patents, European (EP) Published applications, European (EP) Granted Patents, and World Intellectual Property Organization (WO) Published Applications In the US & in Europe, patents usually issue within 3-5 years The World Intellectual Property Organization (WO) is a publication authority only. Patents filed in the WO never issue.

0

1500

3000

4500

Q1 Q2 Q3

# P

aten

t Doc

umen

ts

2013 Worldwide Quarterly Activity

Publication rates for US patent applications and US granted patents consistent with earlier 2013 activity 11% decline in total worldwide* patent publications from Q2 to Q3

0

500

1000

1500

2000

2500

Q1 Q2 Q3

# P

aten

t Doc

umen

ts

2013 US Applications vs. US Grants

US App US Grant

Advanced Battery Patent Publications

Quarterly Patents Published

0

1000

2000

3000

4000

5000

2009 2010 2011 2012 2013

Q1 Q2 Q3 Q4 Linear (Q3) Linear (Q4)

Based on patent activity in the past 5 years, IP Checkups predicts >4000 patents will issue in Q4’13 Q1 & Q2 quarterly publications reflect the most growth over the past 5 years There appears to be a dip in Q3 publications over the past 2 years

Innovation in Leading Battery Sectors

Q3 2013: Patent Publications in Battery Technology Sectors

Category US App US Grant EP App EP

Grant WO Total

Battery Modules 469 247 110 51 269 1146

Cells 47 16 9 4 21 97

Hybrid Systems 68 42 18 2 55 223

Materials 537 214 143 38 372 1304

Usage/ Lifecycle 423 168 87 20 189 890

TOTAL 1544 687 367 115 911 3665

The table above shows patent activity in various areas of battery-related technology. With ABC PatentEdge™, users can explore innovative developments in these (and other) technology sectors, in far greater detail.

Q3 2013: Battery Technology

31%

3%

6% 36%

24%

Battery ModulesCellsHybrid SystemsMaterialsUsage/Lifecycle

Battery Technology Sectors with Significant Patent Publishing Activity in Q3 2013: Materials

Cathodes: Oxides Anodes: Carbon, Silicon

Battery Modules Sense Leads: State of Charge Thermocouples

Q3 2013: Patent Publications in Battery Market Sectors

Category US App

US Grant

EP App

EP Grant WO Total

Aviation 15 10 5 1 4 35

Maritime 67 44 14 5 25 155

Telecommunications 175 110 19 8 59 371

Utility 112 49 28 6 50 245

Vehicle: Industrial 65 33 17 4 21 140

Vehicle: On-Road 261 133 71 12 149 626

TOTAL 695 379 154 36 308 1572

The table above shows patent activity related to various battery market areas.

Q3 2013: Battery Markets

Battery Market Sectors with Significant Patent Publication Activity in Q3 2013:

On-Road Vehicles Telecommunications

2%

10%

24%

15% 9%

40%

Aviation

Maritime

Telecommunication

Utility

Vehicles: Industrial

Vehicles: On-Road

Top Innovators

Top 20 Assignees: Regional Patent Publications

0

50

100

150

200

Toyo

taLG

CHE

MSa

msu

ng S

DI…

Bosc

hHi

tach

iSa

nyo

Elec

tric…

Niss

anG

ener

al M

otor

sPa

naso

nic

Sony

Tosh

iba

Hond

aD

enso

NEC

Co.

BYD

Co.

Ford

John

son…

Li-te

chQ

ualc

omm

Siem

ens

Q3 2013

US GrantUS AppWOEP GrantEP App

Majority of advanced battery patent documents were filed in the US

Top 20 Assignees: US Applications vs. US Grants

Top patent owners in the space continue to innovate.

01020304050607080

Toyo

taLG

CHE

MSa

msu

ng S

DI C

o.Bo

sch

Hita

chi

Sany

o El

ectri

c C

o.N

issan

Gen

eral

Mot

ors

Pana

soni

cSo

nyTo

shib

aHo

nda

Den

soN

EC C

o.BY

D C

o.Fo

rdJo

hnso

n C

ontro

lsLi-

tech

Qua

lcom

mSie

men

s

Q3 2013 US AppUS Grant

Patent #US20130249495

Toyota continues to be the leader in the hybrid industry.

Managing officer Satoshi Ogiso stated that Toyota is working on making higher density batteries, increasing research and development funds directed towards nickel-metal hydride and lithium-ion batteries.

Q3 2013 Innovation Spotlight: Hybrid Vehicles

Patent #US20130175983

Mojo Mobility has been a pioneer in wireless charging. They developed a system and method for improved efficiency and flexibility in inductive charging.

Mojo claims it can use coils to inductively generate a current through perpendicular magnetic fields. This current can be used to power a dev ice.

Patent #US8541119, #US20130236772 Samsung SDI’s patent for developing solid batteries that are more fire and explosion resistant has been granted. These batteries have the ability to work in flexible dev ices. Flexible solid-state batteries open doors to a variety of dev ices, including trending wearable technology. Samsung SDI also submitted a patent application for secondary (rechargeable) batteries, featuring a special coating and an inclined structure.

Patent #US20130202953 Env ia continues to innovate with the goal of building energy storage systems with the highest energy density and the lowest cost materials. In Q3 Env ia submitted a patent application for “Mixed Phase Lithium Metal Oxide Compositions,” which discloses stabilizing electrode coatings that should improve battery performance, cycle life, and safety.

Q3 2013 Innovation Spotlight: Oxide Materials

Patent #WO2013141527 Breaking the tradition of rectangular shaped batteries, LG is leading the effort to a more sustainable future by mass producing batteries that can fit into different small spaces and compartments that normal rectangular batteries can't. Mobile dev ice manufacturers have been eager to adopt round shapes and designs. LG CHEM’s stepped battery design increases battery capacity and takes advantage of the available space, which minimizes unnecessary dead space and increases battery life.

Q3 2013 Innovation Spotlight: Battery Modules

LG CHEM’s Stepped Battery

Patent #WO2013126742 The innovation disclosed in WO2013126742 provides a type of solid-state battery that allows an intermediate user—e.g. a dev ice manufacturer—to select state-of-charge parameters appropriate for the battery’s targeted application.

Advanced Battery Funding

Support from US Government

The US Department of Energy believes cutting-edge battery technologies will reduce America’s oil imports and provide more Americans with more transportation options.

In Q3 2013, the US Advanced Research Projects Agency – Energy (ARPA-E) awarded $36M to companies, universities, and national laboratories for accelerated development and adoption of EV.

22 companies and institutions received funding for advanced battery technologies such as:

Aqueous batteries Robust non-aqueous batteries Multifunctional batteries Solid state batteries

Q3 2013 Federal Funding: $18M to Advanced Battery Research

12%

88%

Advanced Electrolytes for Next-Generation Li Ion Chemistries

Applied Battery Research for Improvements in Cell Chemistry, Composition, andProcessing

$2,271,799 Argonne National Laboratory Daikin America, Inc. Wildcat Discoveries

$16,022,974 3M Company Argonne National Laboratory Envia Systems Farasis Energy, Inc. The Pennsylvania State University TIAX LLC

$18M – Eight Recipients

16%

16%

5%

17% 15%

16%

10% 5%

3M

Argonne NationalLaboratoryDaikin America, Inc.

Envia Systems

Farasis Energy, Inc.

The PennsylvaniaState UniversityTIAX LLC

Wildcat DiscoveryTechnologies, Inc.

37% of federal funding in Q3 2013 went to companies less than 10 years old.

Prominent Inventors

Work of Leading Inventors

Inventor Sample of Work Tim Schaefer Graphene-Containing

Separator For Lithium Ion Batteries

Kostantinos Kourtakis

Compositions, Electrodes And Methods of Making

Masaya Yamamoto

Power supply system for electrically powered vehicle, electrically powered vehicle, and method for controlling the same

These inventors’ names appeared most frequently on patents published in Q3 2013.

Non-Practicing Entities TRANSPARENCY FOR THE PATENT MARKETPLACE

Q3 2013 NPEs The rise of non-practicing entities (NPEs) brings new challenges for small and large companies, investors, and startups alike.

NPEs do not yet have a strong presence in the advanced battery space, but they are likely to acquire more assets as the market continues to expand.

NPEs with Advanced Battery Patents Published in Q3 2013

1. Commonwealth Scientific and Industrial Research Organization (CSIRO)

Patent #EP2625709A1: SINTERED DEVICE 2. Wisconsin Alumni Research Foundation (WARF)

Patent #US8498592B2: Method and apparatus for improving energy efficiency of mobile devices through energy profiling based rate adaptation Patent #US8486569B2: Lithium/carbon monofluoride batteries with organosilicon electrolytes

Q3 2013 Advanced Battery Summary

Patent activity in the advanced battery space continues its steady incline Toyota, LG Chem, & Samsung SDI continue to lead innovation in the space, as measured by patent activity

Keep an eye out for Envia Systems, an innovative emerging company with a growing patent portfolio The US Government continues to fund advanced battery research, likely boosting patent activity in this space

Most active NPEs in the space are publicly-funded research institutes and universities, as is common in areas of emerging technology

With ABC PatentEdge…

Track worldwide patent filing, publication and issuance trends in more than 200 advanced battery related tech. categories

Identify which patents have been assigned to which companies

Learn what trends within specific technologies are developing

Identify key thought leaders in different technical areas

Review patent activity coming from universities and research institutions filing patents in particular technology areas

Find out where leading companies are really making their bets

Want More? Visit our website for additional information

or contact IP Checkups via email.

Appendix

Patent-101: Key Terminology

Assignee: The person or entity who owns the patent or patent application in question. Ownership of a patent document may be shared or transferred, on multiple occasions and/or among multiple parties. Patent Application: A formal application for a patent. This classification includes all types of patent applications (i.e., utility, design, plant, and reissue) except provisional patent applications. The non-provisional application establishes the filing date and initiates the examination process. A non-provisional utility patent application must include a specification, including a claim or claims; drawings, when necessary; an oath or declaration; and the prescribed filing fee. Granted/Issued Patent: Once the patent application complies with the requirements of the relevant patent office, a property right is granted to an inventor “to exclude others from making, using, offering for sale, or selling the invention or importing the invention” into a specific country for a limited time in exchange for public disclosure of the invention when the patent is granted. Patent Document/Patent Publication: Blanket terms used to describe a group of publicly-available documents that includes both issued patents & published patent applications