Patent Trial and Appeal Board

Statistics 11/30/2015

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: 11/30/2015

3815

90% 403

10%

14

0%

4232 Total AIA Petitions*

Total IPR Petitions Total CBM Petitions Total PGR Petitions

Cumulative from 09/16/2012

3

*Data current as of: 11/30/2015

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 2014 FY 2015 FY 2016*

1310

1737

237 177 149

21 2 11 1

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: 11/30/2015

89 101 60 54

76

143 131

184

116

159 120

179

102

177

100

164 131 139 145

182

117

165 136

106 131

0

100

200

300

Number of IPR Petitions Filed by Month*

18

11 9 12

22

14 19

6 10

16 21

16 13 15 14 16

13 7

26

9 6

9 5

11 10

05

101520253035404550

Number of CBM Petitions Filed by Month*

107 112

69 66

98

157 150

190

126

176

142

195

116

192

115

180

145 146 174

193

123

177

141 117

142

0

40

80

120

160

200

240

Number of TOTAL Petitions Filed by Month*

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

0

1

2

3

Number of PGR 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: 11/30/2015

962

65%

318

21% 114

8%

92

6% 3

0%

1489 Total AIA Petitions in FY 14*

(Technology Breakdown)

135

52%

67

26%

18

7%

38

15%

1

0%

259 Total AIA Petitions in FY 16*

(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

1,193

63%

443

23% 90

5%

167

9%

4

0%

1897 Total AIA Petitions in FY 15*

(Technology Breakdown)

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: 11/30/2015

FY 2014 FY 2015 FY 2016*

829 1,326

250

202

223

53

IPR - Number of Patent Owner Preliminary Responses by Fiscal Year

Filed Waived/Not Filed

FY 2014 FY 2015 FY 2016*

116 154

16

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: 11/30/2015

FY 2014 FY 2015 FY 2016*

557

801

158

15

116

22 193

426

59

IPR - Number of Decisions On Institution Per

Fiscal Year by Outcome

Instituted Joinders Denials

FY 2014 FY 2015 FY

2016*

91 91

14

1 10

1 30

43

20

CBM - Number of Decisions On Institution Per

Fiscal Year by Outcome

Instituted Joinders Denials

FY 2014 FY 2015 FY 2016*

0

3

1 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: 11/30/2015

FY 2014 FY 2015 FY 2016*

106

275

47

104

189

16

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: 11/30/2015 487 Trials

All Instituted Claims

Unpatentable (21%

of Total Petitions,

43% of Trials

Instituted, 72% of

Final Written

Decisions)

97 Trials Some Instituted

Claims Unpatentable

(4% of Total

Petitions, 9% of Trials

Instituted, 14% of

Final Written

Decisions)

91 Trials No Instituted Claims

Unpatentable (4% of

Total Petitions, 8% of

Trials Instituted, 14%

of Final Written

Decisions)

675 Trials

Completed Reached Final

Written Decisions

2296 Total

Petitions

1127 Trials

Instituted

1169 Trials Not

Instituted Petition Denied/

Settled/

Dismissed

452 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: 11/30/2015 67 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, 10% of

Trials Instituted, 16%

of Final Written

Decisions)

3 Trials No Instituted Claims

Unpatentable (1% of

Total Petitions, 2% of

Trials Instituted, 3%

of Final Written

Decisions)

83 Trials

Completed Reached Final

Written Decisions

272 Total

Petitions

133 Trials

Instituted

139 Trials Not

Instituted Petition Denied/

Settled/

Dismissed

50 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: 11/30/2015 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: 11/30/2015

71638

34646

15075 7224

1444 Claims Found Patentable by PTAB in Final WrittenDecision

4748 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

1659 Claims Cancelled or Disclaimed by Patent Owner

19571 Claims Challenged but Not Instituted

36992 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 2296 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: 11/30/2015

10118

5569

2484 1451

62 Claims Found Patentable by PTAB in Final WrittenDecision

834 Claims Remaining Patentable (Not Subject to FinalWritten Decision)

137 Claims Cancelled or Disclaimed by Patent Owner

3085 Claims Challenged but Not Instituted

4549 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 272 Petitions