Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 1 of 17 PageID #: 6742
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 1 of 17 PagelD #: 6742
`
`EXHIBIT 15
`EXHIBIT 15
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 1 of 17 PagelD #: 6742
`
`EXHIBIT 15
`EXHIBIT 15
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 2 of 17 PageID #: 6743
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 2 of 17 PagelD #: 6743
`
`UNITED STATES
`UNITED STATES
`PATENT AND TRADEMARK OFFICE
`PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 3 of 17 PageID #: 6744
`
`PTAB Trial Statistics
`FV21 End of Vear Outcome Roundup
`IPR, PGR, CBM
`
`Patent Trial and Appeal Board
`Fiscal Year 2021
`
`UNITED STATES
`PATENT AND TRADEMARK OFFICE
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 4 of 17 PageID #: 6745
`
`Petitions filed by trial type
`(FV21: Oct. 1, 2020 to ~ept. 30, 2d"21)
`
`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 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 5 of 17 PageID #: 6746
`
`Petitions filed bv technology
`(FV21: Oct. 1, 2020 to ~ept. 30, 2021)
`
`1,401
`Total
`
`Chemical
`79
`6%
`
`Bio/Pharma
`99
`7%
`Design
`3
`0%
`
`4
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 6 of 17 PageID #: 6747
`
`Petitions filed by month
`(Sept. 2021 and Previous 12 Months: Sept. 1, 2020 to Sept. 30, 2021)
`
`(1,308 IPRs in FY21)
`
`103
`
`108
`
`114
`
`116
`
`120
`
`122
`
`122
`
`111
`
`151
`
`Sep-20
`
`(93 PGRs in FV21)
`
`16
`
`9
`
`15
`
`9
`
`Sep-20
`
`PGR
`
`Sep-21
`
`IPR
`
`Sep-21
`(0 CBMs in FV21)
`
`8
`
`0 0 0 0 0 0 0 0 0 0 0 0
`
`~ . . . . . . . . . . .
`
`Sep-20
`
`CBM
`
`Sep-21
`
`The Office will not consider a CBM petition filed on or after September 16, 2020.
`
`5
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 7 of 17 PageID #: 6748
`
`Institution rates bv petition
`(FV17 to FV21: Oct. 1, 201g to Sept. 30, 2021)
`
`by Petition
`63%
`63%
`954•-----------s-s~:o~.%~0-------s-s-9~.... s~:~%:.,__ _______ s ... !%
`
`(cid:127) Instituted
`(cid:127) Denied
`
`648
`
`507
`
`702
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`6
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 8 of 17 PageID #: 6749
`
`Institution rates bv patent
`(FV17 to FV21: Oct. 1, 201g to Sept. 30, 2021)
`
`by Patent
`69%
`
`708
`
`674
`
`(cid:127) Instituted
`
`65%
`•
`645
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`7
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 9 of 17 PageID #: 6750
`
`Institution rates bv patent and by petition
`(FV17 to FV21: Oct. 1, 201g to Sept. 30, 2021)
`
`by Patent
`69%
`
`63%
`
`by Petition
`
`..
`~ 65%
`64 _o.:.,:¼ _ _ _ _ _....
`
`70%
`
`63%
`
`-..
`
`59%
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`8
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 10 of 17 PageID #: 6751
`
`Institution rates by technology
`(FV21: 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 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 11 of 17 PageID #: 6752
`
`Settlements
`(FV17 to FV21: Oct. 1, 2016 to Sept. 30, 2021)
`
`Settlement Rate
`26%
`
`Settlements 43 6
`
`402
`
`Post(cid:173)
`Institution
`
`Pre(cid:173)
`Institution
`
`32%
`
`465
`
`502
`
`309
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`FY21
`
`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), excludingjoined cases.
`
`10
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 12 of 17 PageID #: 6753
`
`Outcomes by petition
`(FV21: Oct. 1, 2020 to Sept. 30, 2021)
`
`1,447
`Petitions
`
`Req. Adverse
`Judgmt
`51
`4%
`
`Dismissed
`44
`3%
`
`FWD patentability or unpatentability reported with respect to the claims at issue in the
`FWD. Joined cases are excluded.
`
`11
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 13 of 17 PageID #: 6754
`
`Outcomes by patent
`(FV21: Oct. 1, 2020 to Sept. 30, 2021)
`
`1,191
`Patents
`
`Req. Adverse
`Judgmt
`43
`4%
`Dismissed
`29
`2%
`
`2%
`
`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 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 14 of 17 PageID #: 6755
`Outcomes by claim challenged
`(FV21: Oct. 1, 2020 to Sept. 30, 2021)
`
`Instit utio n Denied
`6,869
`34%
`
`FWD Unpatentable
`3,293
`16%
`
`Disclaimed
`906
`5%
`
`Dismissed
`431
`2%
`
`Challenged But No FWD
`7,104
`35%
`
`13
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 15 of 17 PageID #: 6756
`
`Claim outcomes
`(FV21: Oct. 1, 2020 to Sept. 30, 2021)
`
`25,000
`
`20,000 -
`
`15,000
`
`10,000 -
`
`5,000
`
`Not Challenged
`8,174
`
`Disclaimed
`- - - - - -~ - i7T
`
`Claims in the
`Patents
`28,292
`
`Challenged
`20,118
`
`Denied
`6,869
`
`Instituted
`8,693
`
`111111----.-
`
`Disclaimed
`635
`
`"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 3S°/4
`of instituted claims were found
`unpatentable by a preponderance
`of the evidence in FY21.
`atentable
`1,515,,,,,,'
`
`Unpatentable
`3,293
`
`14
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 16 of 17 PageID #: 6757
`
`All patents
`(FV21: Oct. 1, 2020 to Sept. 30, 2021)
`
`Patents (~3, 760,000)
`I
`
`New Patent Grants (~340,000)
`
`Patents Challenged at PTAB (1,135)
`
`Patents Receiving a Final Written Decision at PTAB (340)
`
`Patents Losing One or More Claims in an FWD (265)
`I
`Oooi
`Patents Losing All Claims in the Patent in an FWD (73)
`
`The area inside each circle is scaled to the number of patents in the category.
`
`15
`
`
`
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 17 of 17 PageID #: 6758
`Case 2:21-cv-00040-JRG Document 157-15 Filed 12/16/21 Page 17 of 17 PagelD #: 6758
`
`
`
`
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