Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10644 Filed 05/17/23 Page 1 of 18
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`Exhibit 5
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`Exhibit 5
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`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10645 Filed 05/17/23 Page 2 of 18
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`
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`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10646 Filed 05/17/23 Page 3 of 18
`
`PTAB Trial Statistics
`FY22 End of Year Outcome Roundup
`IPR, PGR
`Patent Trial and Appeal Board
`Fiscal Year 2022
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10647 Filed 05/17/23 Page 4 of 18
`
`Petitions filed by trial type
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`IPR
`1,320
`97%
`
`1,367
`Total
`
`PGR
`47
`3%
`
`Trial types include Inter Partes Review (IPR) and Post Grant Review (PGR).
`
`3
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10648 Filed 05/17/23 Page 5 of 18
`
`Petitions filed by technology
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`Mechanical &
`Business Method
`319
`23%
`
`Chemical
`55
`4%
`Bio/Pharma
`95
`7%
`
`Design
`6
`0%
`
`1,367
`Total
`
`Electrical/Computer
`892
`65%
`
`4
`
`
`
`Petitions filed by month
`(Sept. 2022 and Previous 12 Months: Sept. 1, 2021 to Sept. 30, 2022)
`IPR
`(1,320 IPRs in FY22)
`118
`
`118
`
`111
`
`114
`
`111
`
`99
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10649 Filed 05/17/23 Page 6 of 18
`
`123
`
`126
`
`100
`
`105
`
`102
`
`103
`
`101
`
`3
`
`6
`
`4
`
`6
`
`3
`
`4
`
`PGR
`
`1
`
`4
`
`3
`
`4
`
`Sep
`
`Oct
`
`Nov
`
`Dec
`
`Jan
`
`Feb Mar
`
`Apr May
`
`Jun
`
`(47 PGRs in FY22)
`
`6
`
`Jul
`
`4
`
`2
`
`Aug
`
`Sep
`
`5
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10650 Filed 05/17/23 Page 7 of 18
`
`Institution rates by petition
`(FY18 to FY22: Oct. 1, 2017 to Sept. 30, 2022)
`
`by Petition
`60%
`859
`
`577
`
`63%
`
`859
`
`510
`
`Instituted
`Denied
`
`67%
`
`56%
`648
`
`507
`
`59%
`
`702
`
`498
`
`769
`
`380
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`FY22
`
`6
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10651 Filed 05/17/23 Page 8 of 18
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`Institution rates by patent
`(FY18 to FY22: Oct. 1, 2017 to Sept. 30, 2022)
`
`by Patent
`67%
`674
`
`70%
`
`667
`
`338
`
`290
`
`64%
`567
`
`315
`
`Instituted
`Denied
`66%
`645
`
`70%
`
`661
`
`337
`
`282
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`FY22
`
`7
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10652 Filed 05/17/23 Page 9 of 18
`
`Institution rates by patent and by petition
`(FY18 to FY22: Oct. 1, 2017 to Sept. 30, 2022)
`
`70%
`
`63%
`
`by Patent
`67%
`
`60%
`by Petition
`
`64%
`
`56%
`
`66%
`
`59%
`
`70%
`67%
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`FY22
`
`8
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10653 Filed 05/17/23 Page 10 of 18
`
`Institution rates by technology
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`Bio/Pharma
`
`Chemical
`
`Design
`
`Electrical/Computer
`
`Mechanical &
`Business Method
`
`77% (72 of 94)
`
`48% (29 of 60)
`
`33% (1 of 3)
`
`68% (497 of 733)
`
`66% (170 of 259)
`
`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 2:22-md-03034-TGB ECF No. 145-5, PageID.10654 Filed 05/17/23 Page 11 of 18
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`Settlements
`(FY18 to FY22: Oct. 1, 2017 to Sept. 30, 2022)
`
`Settlement Rate
`25%
`
`Settlements
`Post-
`Institution
`Pre-
`Institution
`
`402
`202
`
`200
`
`31%
`
`502
`
`243
`
`259
`
`22%
`
`309
`146
`163
`
`32%
`
`465
`192
`
`273
`
`FY21
`FY20
`FY19
`FY18
`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.
`
`27%
`
`339
`165
`
`174
`
`FY22
`
`10
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10655 Filed 05/17/23 Page 12 of 18
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`Outcomes by petition
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`FWD patentability or unpatentability reported with respect to the claims at issue in the
`FWD. Joined cases are excluded.
`
`11
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10656 Filed 05/17/23 Page 13 of 18
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`Outcomes by patent
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`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 2:22-md-03034-TGB ECF No. 145-5, PageID.10657 Filed 05/17/23 Page 14 of 18
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`Outcomes by claim challenged
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`13
`
`
`
`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10658 Filed 05/17/23 Page 15 of 18
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`Claim outcomes
`(FY22: Oct. 1, 2021 to Sept. 30, 2022)
`
`”No DI” and “No FWD” means
`the claim was challenged but not
`addressed in a DI/FWD, e.g., due
`to settlement.
`
`14
`
`
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`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10659 Filed 05/17/23 Page 16 of 18
`
`All patents: Fiscal Year 2022
`(Oct. 1, 2021 to Sept. 30, 2022)
`
`~3,780,000 live patents
`1,083 patents with AIA proceedings that ended in FY22
`350 patents at least partially invalidated by PTAB
`132 patents fully invalidated by PTAB
`
`• 12% of patents with proceedings ending in FY22
`were fully invalidated by PTAB (132 out of 1,083).
`Less than 0.004% of all live patents in FY22 were
`fully invalidated by PTAB (132 out of ~3,780,000).
`
`•
`
`Events that end an AIA proceeding include denials of institution, settlements, dismissals, requests
`for adverse judgment, and final written decisions (FWD). A patent is listed in an FWD category if it
`ever received an FWD.
`
`15
`
`
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`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10660 Filed 05/17/23 Page 17 of 18
`
`All patents: All time
`(Sept. 16, 2012 to Sept. 30, 2022)
`
`8,578 patents challenged in AIA proceedings
`2,749 patents at least partially invalidated by PTAB
`890 patents fully invalidated by PTAB
`
`10% of challenged patents were fully
`invalidated by PTAB (890 out of 8,578).
`
`16
`
`
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`Case 2:22-md-03034-TGB ECF No. 145-5, PageID.10661 Filed 05/17/23 Page 18 of 18
`
`
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