Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 1 of 17
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`EXHIBIT 1
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`
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`DECLARATION OF LUANN L. SIMMONS
`IN SUPPORT OF DEFENDANT APPLE, INC.’S
`MOTION TO STAY
`
`CASE NO. 5:15-CV-02008-EJD
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`
`EXHIBIT 1
`
`
`
`DECLARATION OF LUANN L. SIMMONS
`IN SUPPORT OF DEFENDANT APPLE, INC.’S
`MOTION TO STAY
`
`CASE NO. 5:15-CV-02008-EJD
`
`
`
`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 2 of 17
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`Patent Trial and Appeal Board
`Statistics
`
`3/31/2016
`
`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 3 of 17
`
`4743 Total AIA Petitions*
`
`Cumulative from 09/16/2012
`
`4288
`90%
`
`433
`9%
`
`22
`1%
`
`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: 3/31/2016
`
`Total IPR Petitions
`
`Total CBM Petitions
`
`Total PGR Petitions
`
`2
`
`
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 4 of 17
`
`Number of AIA Petitions Filed by Fiscal Year by Type
`
`IPR
`
`CBM
`
`PGR
`
`1737
`
`1310
`
`710
`
`177
`
`2
`
`149
`
`11
`
`51
`
`9
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`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).
`
`*Data current as of: 3/31/2016
`
`3
`
`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 5 of 17
`
`Number of IPR Petitions Filed by Month*
`
`Number of CBM Petitions Filed by Month*
`
`22
`
`19
`
`14
`
`10
`
`6
`
`21
`
`16
`
`16
`
`13 15 14 16
`
`13
`
`26
`
`7
`
`9
`
`9
`
`6
`
`5
`
`11 10
`
`12 10
`
`5
`
`3
`
`50
`45
`40
`35
`30
`25
`20
`15
`10
`
`05
`
`184
`
`143 131
`
`159
`
`116
`
`120
`
`179
`
`177
`
`102
`
`100
`
`164
`
`131 139 145
`
`182
`
`165
`
`136
`
`117
`
`106
`
`131 138
`
`132
`
`96
`
`107
`
`300
`
`200
`
`100
`
`0
`
`76
`
`Number of PGR Petitions Filed by Month*
`
`Number of TOTAL Petitions Filed by Month*
`
`240
`
`195
`
`192
`
`193
`
`157 150
`
`190
`
`176
`
`142
`
`126
`
`98
`
`180
`
`174
`
`177
`
`145 146
`
`116
`
`115
`
`123
`
`141
`
`142 144
`
`117
`
`150
`
`118
`
`99
`
`0
`
`0
`
`0
`
`0
`
`0
`
`1
`
`1
`
`1
`
`0
`
`1
`
`0
`
`0
`
`1
`
`0
`
`3
`
`2
`
`3
`
`0
`
`0
`
`0
`
`1
`
`1
`
`0
`
`1
`
`6
`
`200
`
`160
`
`120
`
`80
`
`40
`
`0
`
`10
`
`02468
`
`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: 3/31/2016
`
`4
`
`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 6 of 17
`
`770 Total AIA Petitions in FY 16*
`(Technology Breakdown)
`
`205
`26%
`
`415
`54%
`
`44
`6%
`
`100
`13%
`
`6
`1%
`
`Electrical/Computer - TCs 2100, 2400, 2600, 2800
`Mechanical/Business Method - TCs 3600, 3700
`Chemical - TC 1700
`Bio/Pharma - TC 1600
`Design - TC 2900
`
`1897 Total AIA Petitions in FY 15*
`(Technology Breakdown)
`
`443
`23%
`
`90
`5%
`
`4
`0%
`
`167
`9%
`
`1,193
`63%
`
`1489 Total AIA Petitions in FY 14*
`(Technology Breakdown)
`
`318
`21%
`
`114
`8%
`
`3
`0%
`
`92
`6%
`
`962
`65%
`
`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: 3/31/2016
`
`5
`
`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 7 of 17
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`IPR - Number of Patent Owner
`Preliminary Responses by Fiscal Year
`
`CBM - Number of Patent Owner
`Preliminary Responses by Fiscal Year
`
`223
`
`1,326
`
`202
`
`829
`
`122
`
`663
`
`18
`
`116
`
`12
`
`154
`
`2
`
`45
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`Filed
`
`Waived/Not Filed
`
`Filed
`
`Waived/Not Filed
`
`PGR - Number of Patent Owner
`Preliminary Responses by Fiscal Year
`
`1
`
`6
`
`1
`
`6
`
`0
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`Filed
`
`Waived/Not Filed
`
`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: 3/31/2016
`
`6
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`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 8 of 17
`
`Percent of Petitions Instituted by
`Technology
`
`Mechanical/Business Methods (644 of
`891 petitions)
`
`Electrical/Computer (1451 of 2019
`petitions)
`
`Design (7 of 12 petitions)
`
`Chemical (167 of 222 petitions)
`
`Biotechnology/Pharma (160 of 261
`petitions)
`
`Narrative:
`This chart shows the percentage
`of petitions instituted of all
`decisions on petition, by
`technology area.
`
`*Data current as of: 3/31/2016
`
`0% 10% 20% 30% 40% 50% 60% 70% 80%
`
`7
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`
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 9 of 17
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`IPR - Number of Decisions On Institution Per Fiscal
`Year by Outcome
`
`CBM - Number of Decisions On Institution Per Fiscal
`Year by Outcome
`
`116
`
`801
`
`15
`
`557
`
`193
`
`426
`
`44
`
`480
`
`236
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`Instituted
`
`Joinders
`
`Denials
`
`PGR - Number of Decisions On Institution Per Fiscal
`Year by Outcome
`
`0
`
`0
`
`3
`
`0
`
`7
`
`1
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`Instituted
`
`Joinders
`
`Denials
`
`1
`
`91
`
`30
`
`10
`
`91
`
`43
`
`30
`
`2
`
`22
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`Instituted
`
`Joinders
`
`Denials
`
`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: 3/31/2016
`
`8
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`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 10 of 17
`
`IPR - Settlements
`275
`
`189
`
`106
`
`104
`
`105
`
`89
`
`CBM - Settlements
`
`32
`
`21
`
`14
`
`6
`
`9
`
`9
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`FY 2014
`
`FY 2015
`
`FY 2016*
`
`Settled Before Institution
`
`Settled After Institution
`
`Settled Before Institution
`
`Settled After Institution
`
`PGR - Settlements
`
`2
`
`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.
`
`0
`
`0
`
`0
`
`0
`
`0
`
`*Data current as of: 3/31/2016
`
`FY2014
`
`FY 2015
`
`FY 2016*
`
`Settled Before Institution
`
`Settled After Institution
`
`9
`
`
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 11 of 17
`
`Disposition of IPR Petitions Completed to Date*
`
`2872
`Total
`Petitions
`
`1429
`Trials Not
`Instituted
`
`1443
`Trials
`Instituted
`
`Narrative:
`This graph shows a stepping stone
`visual depicting the outcomes for
`all IPR petitions filed to-date that
`have reached a final disposition.
`
`869
`Petitions
`Denied
`
`560
`Terminated
`Before Institution
`Decision:
`506 Settled
`35 Dismissed
`19 Request for
`Adverse
`Judgement
`
`549
`Terminated
`After Institution
`Decision:
`400 Settled
`17 Dismissed
`132 Request for
`Adverse
`Judgement
`
`894
`Trials Completed
`(Reached Final
`Written Decision)
`
`640 Trials
`All Instituted Claims
`Unpatentable (22% of
`Total Petitions, 44%
`of Trials Instituted,
`72% of Final Written
`Decisions)
`
`123 Trials
`Some Instituted
`Claims Unpatentable
`(4% of Total Petitions,
`9% of Trials
`Instituted, 14% of
`Final Written
`Decisions)
`
`131 Trials
`No Instituted Claims
`Unpatentable (5% of
`Total Petitions, 9% of
`Trials Instituted, 15%
`of Final Written
`Decisions)
`
`*Data current as of: 3/31/2016
`
`10
`
`
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 12 of 17
`
`Disposition of CBM Petitions Completed to Date*
`
`330
`Total
`Petitions
`
`155
`Trials Not
`Instituted
`
`175
`Trials
`Instituted
`
`Narrative:
`This graph shows a stepping stone
`visual depicting the outcomes for
`all CBM petitions filed to-date that
`have reached a final disposition.
`
`106
`Petitions
`Denied
`
`49
`Terminated
`Before Institution
`Decision:
`47 Settled
`2 Dismissed
`0 Request for
`Adverse
`Judgement
`
`67
`Terminated
`After Institution
`Decision:
`47 Settled
`7 Dismissed
`13 Request for
`Adverse
`Judgement
`
`108
`Trials Completed
`(Reached Final
`Written Decision)
`
`85 Trials
`All Instituted Claims
`Unpatentable (26% of
`Total Petitions, 49%
`of Trials Instituted,
`79% of Final Written
`Decisions)
`
`20 Trials
`Some Instituted
`Claims Unpatentable
`(6% of Total Petitions,
`11% of Trials
`Instituted, 19% of
`Final Written
`Decisions)
`
`3 Trials
`No Instituted Claims
`Unpatentable (1% of
`Total Petitions, 2% of
`Trials Instituted, 3%
`of Final Written
`Decisions)
`
`*Data current as of: 3/31/2016
`
`11
`
`
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 13 of 17
`
`Disposition of PGR Petitions Completed to Date*
`
`3
`Total
`Petitions
`
`3
`Trials Not
`Instituted
`
`0
`Trials
`Instituted
`
`Narrative:
`This graph shows a stepping stone
`visual depicting the outcomes for
`all PGR petitions filed to-date that
`have reached a final disposition.
`
`1
`Petitions
`Denied
`
`2
`Terminated
`Before Institution
`Decision:
`2 Settled
`0 Dismissed
`0 Request for
`Adverse
`Judgement
`
`0
`Terminated
`After Institution
`Decision:
`0 Settled
`0 Dismissed
`0 Request for
`Adverse
`Judgement
`
`0
`Trials Completed
`(Reached Final
`Written Decision)
`
`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)
`
`*Data current as of: 3/31/2016
`
`12
`
`
`
`IPR Petitions Terminated to Date*
`
`2100 Claims Found Patentable by PTAB in Final Written
`Decision
`
`5744 Claims Remaining Patentable (Not Subject to Final
`Written Decision)
`
`1841 Claims Cancelled or Disclaimed by Patent Owner
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 14 of 17
`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.
`
`24518 Claims Challenged but Not Instituted
`
`51184 Claims Not Challenged
`
`94946
`
`43762
`
`19244
`
`Total Number of
`Claims Available
`to be Challenged
`within 2872
`Petitions
`
`Claims
`Challenged
`
`Claims
`Instituted
`
`9559
`
`Claims Found
`Unpatentable
`by PTAB in Final
`Written
`Decision
`
`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: 3/31/2016
`
`13
`
`
`
`CBM Petitions Terminated to Date*
`
`62 Claims Found Patentable by PTAB in Final Written
`Decision
`
`930 Claims Remaining Patentable (Not Subject to Final
`Written Decision)
`
`237 Claims Cancelled or Disclaimed by Patent Owner
`
`3509 Claims Challenged but Not Instituted
`
`5374 Claims Not Challenged
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 15 of 17
`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.
`
`11834
`
`6460
`
`2951
`
`Total Number of
`Claims Available
`to be Challenged
`within 330
`Petitions
`
`Claims
`Challenged
`
`Claims
`Instituted
`
`1722
`
`Claims Found
`Unpatentable
`by PTAB in Final
`Written
`Decision
`
`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: 3/31/2016
`
`14
`
`
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 16 of 17
`
`Trial Outcomes for Instituted Claims by
`Technology
`
`Mechanical/Business Methods (6694 claims)
`
`Electrical/Computer (12469 claims)
`
`Design (5 claims)
`
`Chemical (1774 claims)
`
`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%.
`
`Biotechnology/Pharma (1253 claims)
`
`*Data current as of: 3/31/2016
`
`0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
`
`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
`
`15
`
`
`
`Case 5:15-cv-02008-EJD Document 92-2 Filed 05/03/16 Page 17 of 17
`Case 5:15—cv—O2008—EJD Document 92-2 Filed 05/03/16 Page 17 of 17
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