Patent Trial and Appeal Board
`Statistics
`1/31/2017
`
`Voip-Pal Ex. 2063
`IPR2016-01198 and
`IPR2016-01201
`
`
`Statistics
`1/31/2017
`
`Voip-Pal Ex. 2063
`IPR2016-01198 and
`IPR2016-01201
`
`
`
`6380 Total AIA Petitions*
`Cumulative from 09/16/2012
`
`5828
`91%
`
`504
`8%
`
`48
`1%
`
`Total IPR Petitions
`Total PGR Petitions
`
`Total CBM Petitions
`
`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: 1/31/2017
`
`2
`
`
`
`Number of AIA Petitions Filed by Fiscal Year by Type
`IPR
`CBM
`PGR
`
`1737
`
`1565
`
`685
`
`11
`
`149
`
`FY 15
`
`94
`
`24
`
`28
`
`11
`
`FY 16
`
`FY 17*
`
`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: 1/31/2017
`
`3
`
`
`
`Number of IPR Petitions Filed by Month*
`
`Number of CBM Petitions Filed by Month*
`
`26
`
`14 16 13
`
`7
`
`9
`
`6
`
`9
`
`5
`
`11 10
`
`5
`
`3
`
`12 10 10
`
`17
`
`9
`
`4
`
`2
`
`1
`
`5
`
`10
`
`8
`
`5
`
`Number of TOTAL Petitions Filed by Month*
`
`246
`
`180
`
`145 146
`
`115
`
`193
`
`174
`
`177
`
`123
`
`141
`
`117
`
`142 144
`
`99
`
`150
`
`118
`
`148 135
`
`176
`
`157 143 154 155 167 156
`
`50
`45
`40
`35
`30
`25
`20
`15
`10
`
`05
`
`280
`240
`200
`160
`120
`80
`40
`0
`
`164
`
`131 139 145
`
`182
`
`165
`
`136
`
`117
`
`100
`
`131 138
`
`106
`
`96
`
`132
`
`136
`
`114
`
`107
`
`166 155 136 148 149 154 145
`
`237
`
`Number of PGR Petitions Filed by Month*
`
`1
`
`0
`
`1
`
`0
`
`3
`
`2
`
`3
`
`0
`
`0
`
`0
`
`1
`
`1
`
`0
`
`6
`
`4
`
`2
`
`1
`
`5
`
`4
`
`4
`
`3
`
`1
`
`1
`
`1
`
`1
`
`300
`
`200
`
`100
`
`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 for the last 2 years.
`
`*Data current as of: 1/31/2017
`
`4
`
`
`
`724 Total AIA Petitions in FY 17*
`(Technology Breakdown)
`
`181
`25%
`
`412
`57%
`
`47
`6%
`
`71
`10%
`
`13
`2%
`
`Electrical/Computer - TCs 2100, 2400, 2600, 2800
`Mechanical/Business Method - TCs 3600, 3700
`Chemical - TC 1700
`Bio/Pharma - TC 1600
`Design - TC 2900
`
`1683 Total AIA Petitions in FY 16*
`(Technology Breakdown)
`
`405
`24%
`
`935
`55%
`
`115
`7%
`
`212
`13%
`
`16
`1%
`
`1897 Total AIA Petitions in FY 15*
`(Technology Breakdown)
`
`443
`23%
`
`90
`5%
`
`4
`0%
`
`167
`9%
`
`1,193
`63%
`
`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: 1/31/2017
`
`5
`
`
`
`IPR - Number of Patent Owner
`Preliminary Responses by Fiscal Year
`
`CBM - Number of Patent Owner
`Preliminary Responses by Fiscal Year
`
`223
`
`1,326
`
`239
`
`1,238
`
`79
`482
`
`FY 15
`Filed
`
`FY 17*
`FY 16
`Waived/Not Filed
`
`PGR - Number of Patent Owner
`Preliminary Responses by Fiscal Year
`
`1
`
`19
`
`0
`7
`
`1
`6
`
`FY 15
`Filed
`
`FY 16
`FY 17*
`Waived/Not Filed
`
`12
`
`154
`
`11
`
`94
`
`0
`
`FY 15
`Filed
`
`11
`FY 17*
`FY 16
`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: 1/31/2017
`
`6
`
`
`
`Percent of Petitions Instituted, by Technology
`
`Mechanical/Business Methods (818 of 1145 petitions)
`
`Electrical/Computer (1877 of 2643 petitions)
`
`71%
`
`71%
`
`Narrative:
`This chart shows the percentage
`of petitions instituted of all
`decisions on petition, by
`technology area.
`
`Design (10 of 27 petitions)
`
`37%
`
`Chemical (207 of 299 petitions)
`
`69%
`
`Biotechnology/Pharma (257 of 412 petitions)
`
`62%
`
`*Data current as of: 1/31/2017
`
`0% 10% 20% 30% 40% 50% 60% 70% 80%
`
`7
`
`
`
`IPR - Number of Decisions On Institution Per Fiscal
`Year by Outcome
`77
`
`116
`
`801
`
`871
`
`426
`
`444
`
`FY 15
`
`FY 16
`
`Instituted
`
`Joinders
`
`32
`
`232
`
`139
`
`FY 17*
`Denials
`
`PGR - Number of Decisions On Institution Per Fiscal
`Year by Outcome
`
`0
`
`11
`
`FY 16
`
`0
`3
`
`FY 15
`
`0
`
`Instituted
`
`Joinders
`
`4
`
`7
`
`0
`
`2
`
`FY 17*
`Denials
`
`CBM - Number of Decisions On Institution Per Fiscal
`Year by Outcome
`
`10
`
`91
`
`6
`
`51
`
`43
`
`FY 15
`
`FY 16
`
`11
`
`45
`
`0
`11
`
`FY 17*
`
`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: 1/31/2017
`
`8
`
`
`
`IPR - Settlements
`
`275
`
`229
`
`189
`
`184
`
`CBM - Settlements
`
`32
`
`86
`
`63
`
`14
`
`13
`
`13
`
`8
`
`5
`
`FY 16
`FY 15
`Settled Before Institution
`
`FY 17*
`Settled After Institution
`
`FY 16
`FY 15
`Settled Before Institution
`
`FY 17*
`Settled After Institution
`
`PGR - Settlements
`
`2
`
`1
`
`1
`
`0
`
`0
`
`0
`
`FY 16
`FY 15
`Settled Before Institution
`
`FY 17*
`Settled After Institution
`
`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: 1/31/2017
`
`9
`
`
`
`Disposition of IPR Petitions Completed to Date*
`4220
`Total
`Petitions
`
`2004
`Trials Not
`Instituted
`
`2216
`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.
`
`1214
`Petitions
`Denied
`
`790
`
`Terminated T
`Bef
`Before Institution
`Decision:
`716Settled
`47Dismissed
`27 Request for
`Adverse
`Judgement
`
`775
`Terminated
`n
`After Institution
`Decision:
`558Settled
`20 Dismissed
`197Request for
`Adverse
`Judgement
`
`1441
`
`Trials CompletedTri
`
`(Reached Final (R
`Written Decision)
`
`968 Trials
`All Instituted Claims
`Unpatentable (23% of
`Total Petitions, 44%
`of Trials Instituted,
`67% of Final Written
`Decisions)
`
`230 Trials
`Some Instituted
`Claims Unpatentable
`(5% of Total Petitions,
`10% of Trials
`Instituted, 16% of
`Final Written
`Decisions)
`
`243 Trials
`No Instituted Claims
`Unpatentable (6% of
`Total Petitions, 11%
`of Trials Instituted,
`17% of Final Written
`Decisions)
`
`*Data current as of: 1/31/2017
`
`10
`
`
`
`Disposition of CBM Petitions Completed to Date*
`427
`Total
`Petitions
`
`195
`Trials Not
`Instituted
`
`232
`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.
`
`132
`Petitions
`Denied
`
`63
`
`Terminated T
`Bef
`Before Institution
`Decision:
`59 Settled
`4 Dismissed
`0 Request for
`Adverse
`Judgement
`
`78
`Terminated
`n
`After Institution
`Decision:
`56Settled
`9 Dismissed
`13 Request for
`Adverse
`Judgement
`
`154
`
`Trials CompletedTri
`
`(Reached Final (R
`Written Decision)
`
`127 Trials
`All Instituted Claims
`Unpatentable (30% of
`Total Petitions, 55%
`of Trials Instituted,
`82% of Final Written
`Decisions)
`
`23 Trials
`Some Instituted
`Claims Unpatentable
`(5% of Total Petitions,
`10% of Trials
`Instituted, 15% of
`Final Written
`Decisions)
`
`4 Trials
`No Instituted Claims
`Unpatentable 1% of
`Total Petitions 2% of
`Trials Instituted, 3%
`of Final Written
`Decisions)
`
`*Data current as of: 1/31/2017
`
`11
`
`
`
`IPR Petitions Terminated to Date*
`
`4351 Claims Found Patentable by PTAB in Final
`Written Decision
`7612 Claims Remaining Patentable (Not Subject to
`Final Written Decision)
`2483 Claims Cancelled or Disclaimed by Patent
`Owner
`34872 Claims Challenged but Not Instituted
`
`75915 Claims Not Challenged
`
`140913
`
`64998
`
`30126
`
`Total Number of
`Claims Available to
`be Challenged within
`4220 Petitions
`
`Claims
`Challenged
`
`Claims
`Instituted
`
`
`
`156805680
`
`Claims Found
`Unpatentable
`by PTAB in
`Final Written
`Decision
`
`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.
`
`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: 1/31/2017
`
`12
`
`
`
`CBM Petitions Terminated to Date*
`
`107 Claims Found Patentable by PTAB in Final
`Written Decision
`1130 Claims Remaining Patentable (Not Subject to
`Final Written Decision)
`302 Claims Cancelled or Disclaimed by Patent
`Owner
`4600 Claims Challenged but Not Instituted
`
`7105 Claims Not Challenged
`
`15450
`
`8345
`
`3745
`
`Total Number of
`Claims Available
`to be Challenged
`within 427
`
`Claims
`Challenged
`
`Claims
`Instituted
`
`2206
`
`Claims Found
`Unpatentable by
`PTAB in Final
`Written Decision
`
`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.
`
`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: 1/31/2017
`
`13
`
`
`
`Trial Outcomes for Instituted Claims,
`by Technology
`
`Mechanical/Business Methods (9827
`claims)
`
`48%
`
`9%
`
`9%
`
`Electrical/Computer (19230 claims)
`
`56%
`
`8%
`
`13%
`
`Design (7 claims)
`
`86%
`
`0%
`14%
`
`Chemical (2409 claims)
`
`64%
`
`5%
`
`10%
`
`Biotechnology/Pharma (2398 claims)
`
`38%
`
`7%
`
`33%
`
`0%
`
`20% 40% 60% 80% 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
`
`* Includes IPR and CBM trial outcomes
`
`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%.
`
`*Data current as of: 1/31/2017
`
`14
`
`
`
`
`
`
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