Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 1 of 17
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 1 of 17
`
`Exhibit H
`
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`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 1 of 17
`
`Exhibit H
`
`
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`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 2 of 17
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 2 of 17
`
`UNITED STATES
`PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 3 of 17
`
`PTAB Trial Statistics
`FY21 End of Year Outcome Roundup
`IPR, PGR, CBM
`
`Patent Trial and Appeal Board
`Fiscal Year 2021
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 4 of 17
`
`Petitions filed by trial type
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`IPR
`1,308
`93%
`
`1,401
`Total
`
`PGR
`93
`7%
`
`Trial types include Inter Partes Review (IPR), Post Grant Review (PGR), and Covered
`Business Method (CBM). The Office will not consider a CBM petition filed on or after
`September 16, 2020.
`
`3
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 5 of 17
`
`Petitions filed by technology
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`Mechanical &
`Business Method
`316
`23%
`
`1,401
`Total
`
`Electrical/Computer
`904
`65%
`
`Chemical
`79
`6%
`Bio/Pharma
`99
`7%
`Design
`3
`0%
`
`4
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 6 of 17
`
`Petitions filed by month
`(Sept. 2021 and Previous 12 Months: Sept. 1, 2020 to Sept. 30, 2021)
`
`151
`
`119
`
`103
`
`108
`
`74
`
`114
`
`116
`
`120
`
`102
`
`122
`
`122
`
`111
`
`97
`
`(1,308 IPRs in FY21)
`
`Sep-20
`
`5 6 4
`
`Sep-20
`
`(93 PGRs in FY21)
`16 9 15 9 2 5 9 7 8 3
`PGR
`Sep-21
`
`IPR
`
`8
`
`Sep-20
`
`Sep-21
`(0 CBMs in FY21)
`
`0 0 0 0 0 0 0 0 0 0 0 0
`CBM
`
`Sep-21
`
`The Office will not consider a CBM petition filed on or after September 16, 2020.
`
`5
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 7 of 17
`
`Institution rates by petition
`(FY17 to FY21: Oct. 1, 2016 to Sept. 30, 2021)
`
`by Petition
`63%
`
`954
`
`558
`
`60%
`859
`
`577
`
`63%
`
`859
`
`510
`
`Instituted
`Denied
`
`56%
`648
`
`507
`
`59%
`
`702
`
`498
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`6
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 8 of 17
`
`Institution rates by patent
`(FY17 to FY21: Oct. 1, 2016 to Sept. 30, 2021)
`by Patent
`69%
`
`70%
`
`Instituted
`Denied
`
`64%
`567
`
`315
`
`65%
`645
`
`341
`
`708
`
`67%
`
`674
`
`667
`
`314
`
`338
`
`290
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`7
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 9 of 17
`
`Institution rates by patent and by petition
`(FY17 to FY21: Oct. 1, 2016 to Sept. 30, 2021)
`by Patent
`69%
`
`70%
`
`63%
`by Petition
`
`67%
`
`60%
`
`63%
`
`64%
`
`56%
`
`65%
`
`59%
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`8
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 10 of 17
`
`Institution rates by technology
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`Bio/Pharma
`
`Chemical
`
`Design
`
`Electrical/Computer
`
`Mechanical &
`Business Method
`
`58% (42 of 72)
`
`51% (46 of 90)
`
`80% (4 of 5)
`
`60% (429 of 714)
`
`57% (181 of 319)
`
`Institution rate for each technology is calculated by dividing petitions instituted by
`decisions on institution (i.e., petitions instituted plus petitions denied). The outcomes
`of decisions on institution responsive to requests for rehearing are excluded.
`
`9
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 11 of 17
`
`Settlements
`(FY17 to FY21: Oct. 1, 2016 to Sept. 30, 2021)
`
`Settlement Rate
`26%
`
`Settlements
`Post-
`Institution
`Pre-
`Institution
`
`436
`187
`
`249
`
`25%
`
`402
`
`202
`
`200
`
`31%
`
`502
`
`243
`
`259
`
`22%
`
`309
`146
`
`163
`
`FY20
`FY19
`FY18
`FY17
`Settlement rate is calculated by dividing total settlements by concluded proceedings in
`each fiscal year (i.e., denied institution, settled, dismissed, requested adverse judgment,
`and final written decision), excluding joined cases.
`
`32%
`
`465
`192
`
`273
`
`FY21
`
`10
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 12 of 17
`
`Outcomes by petition
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`FWD patentability or unpatentability reported with respect to the claims at issue in the
`FWD. Joined cases are excluded.
`
`11
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 13 of 17
`
`Outcomes by patent
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`FWD patentability or unpatentability reported with respect to the claims at issue in the
`FWD. “Mixed Outcome” is shown for patents receiving more than one type of outcome
`from the list of: denied, settled, dismissed, and/or req. adverse judgement only. A patent
`is listed in a FWD category if it ever received a FWD, regardless of other outcomes.
`
`12
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 14 of 17
`
`Outcomes by claim challenged
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`13
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 15 of 17
`
`Claim outcomes
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`”No DI” and “No FWD” means
`the claim was challenged but not
`addressed in a DI/FWD, e.g., due
`to settlement.
`
`16% of challenged claims and 38%
`of instituted claims were found
`unpatentable by a preponderance
`of the evidence in FY21.
`
`14
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 16 of 17
`
`All patents
`(FY21: Oct. 1, 2020 to Sept. 30, 2021)
`
`The area inside each circle is scaled to the number of patents in the category.
`
`15
`
`
`
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page 17 of 17
`Case 4:20-cv-07572-JSW Document 70-8 Filed 11/11/21 Page17 of17
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`
`
`
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