Patent Trial and Appeal Board

Statistics 9/30/2015

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: 9/30/2015

3578

90% 382

10%

13

0%

3973 Total AIA Petitions*

Total IPR Petitions Total CBM Petitions Total PGR Petitions

Cumulative from 09/16/2012

3

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: 9/30/2015

30 38 27 45

65 69 62 73 77 89 101 60 54

76

143 131

184

116 159

120

179

102

177

100

164 131 139 145

182

117

165 136

0

100

200

300

Number of IPR Petitions Filed by Month*

0 2 4 7 8

3 9 8

19 18 11 9

12

22

14 19

6 10

16 21

16 13 15 14 16

13 7

26

9 6

9 5

05

101520253035404550

Number of CBM Petitions Filed by Month*

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

1 1

0

1

0

1

0

1

0

3

2

0

3

0

0

1

2

3

Number of PGR Petitions Filed by Month*

30 40 31 52

73 72 71 81 96 107 112

69 66

98

157 150

190

126

176

142

195

116

192

115

180

145 146 174

193

123

177

141

0

40

80

120

160

200

240

Number of TOTAL Petitions Filed by Month*

4

*Data current as of: 9/30/2015

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 2012 FY 2013 FY 2014 FY 2015*

0 0 2 11 8 48

177 149

17

514

1310

1737

Number of AIA Petitions Filed by Fiscal Year by Type

PGR CBM IPR

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: 9/30/2015

1,193

63%

443

23% 90

5%

167

9% 4

0%

1897 Total AIA Petitions in FY 15*

(Technology Breakdown)

Electrical/Computer - TCs 2100, 2400, 2600, 2800

Mechanical/Business Method - TCs 3600, 3700

Chemical - TC 1700

Bio/Pharma - TC 1600

Design - 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: 9/30/2015

FY 2013 FY 2014 FY 2015*

237 829

1,326 63 202

223

IPR - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 2013 FY 2014 FY 2015*

33

116 154 2

18 12

CBM - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 2013 FY 2014 FY 2015*

6

0 0

1

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: 9/30/2015

FY 2013 FY 2014 *FY 2015

0 0

3

0 0 0

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

Instituted Joinders Denials

FY 2013 FY 2014 *FY 2015

167

557 801

10

15

116

26

193

426

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

Instituted Joinders Denials

FY 2013 FY 2014 *FY 2015

14

91 91 0

1 10

3

30

43

CBM - 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: 9/30/2015

FY 2013 FY 2014 FY 2015*

20

106

275

18

104

189

IPR - Settlements

Settled Before Institution Settled After Institution

FY 2013 FY 2014 FY 2015*

3

21

14

0

6

32

CBM - Settlements

Settled Before Institution Settled After Institution

FY2013 FY 2014 FY 2015*

0 0

2

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: 9/30/2015 414 Trials

All Instituted Claims

Unpatentable (20%

of Total Petitions,

42% of Trials

Instituted, 72% of

Final Written

Decisions)

85 Trials Some Instituted

Claims Unpatentable

(4% of Total

Petitions, 9% of Trials

Instituted, 15% of

Final Written

Decisions)

76 Trials No Instituted Claims

Unpatentable (4% of

Total Petitions, 8% of

Trials Instituted, 13%

of Final Written

Decisions)

575 Trials

Completed Reached Final

Written Decisions

2059 Total

Petitions

996 Trials

Instituted

1063 Trials Not

Instituted Petition Denied/

Settled/

Dismissed

421 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: 9/30/2015 63 Trials

All Instituted Claims

Unpatentable (26%

of Total Petitions,

50% of Trials

Instituted, 82% of

Final Written

Decisions)

11 Trials Some Instituted

Claims Unpatentable

(5% of Total

Petitions, 9% of Trials

Instituted, 14% of

Final Written

Decisions)

3 Trials No Instituted Claims

Unpatentable (1% of

Total Petitions, 2% of

Trials Instituted, 4%

of Final Written

Decisions)

77 Trials

Completed Reached Final

Written Decisions

242 Total

Petitions

126 Trials

Instituted

116 Trials Not

Instituted Petition Denied/

Settled/

Dismissed

49 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: 9/30/2015 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: 9/30/2015

64417

31211

13433 6161

1196 Claims Found Patentable by PTAB in Final WrittenDecision

4499 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

1577 Claims Cancelled or Disclaimed by Patent Owner

17778 Claims Challenged but Not Instituted

33206 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 2059 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: 9/30/2015

8651

4975

2339 1324

60 Claims Found Patentable by PTAB in Final WrittenDecision

834 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

121 Claims Cancelled or Disclaimed by Patent Owner

2636 Claims Challenged but Not Instituted

3676 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 242 Petitions