Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 1 of 22 PageID #:
`6244
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`Exhibit 3
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`6244
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`Exhibit 3
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 2 of 22 PageID #:
`6245
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 3 of 22 PageID #:
`6246
`
`PTAB Trial Statistics
`FY20 End of Year Outcome Roundup
`IPR, PGR, CBM
`Patent Trial and Appeal Board
`Fiscal Year 2020
`
`
`
`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 4 of 22 PageID #:
`6247
`
`FY20 PTAB outcome roundup
`• Generally speaking regarding AIA petitions in
`FY2020:
`– one-third were denied
`– one-third settled or otherwise terminated
`– one-third resulted in a final written decision.
`
`• AIA institution rate = about 56% (out of all
`decisions on institution).
`
`3
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 5 of 22 PageID #:
`6248
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`FY20 PTAB outcome roundup
`Considering all Outcomes in AIA Proceedings in
`FY2020:
`– PTAB issued 508 final written decisions addressing
`413 different patents.
`– Less than 30% of challenged claims were found
`unpatentable by a preponderance of the evidence in
`final written decisions.
`– Less than 40% of challenged patents were addressed
`in a final written decision at all.
`
`4
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 6 of 22 PageID #:
`6249
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`Petitions filed by trial type
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`IPR
`1,429
`95%
`
`1,513
`Total
`
`CBM
`20
`1%
`PGR
`64
`4%
`
`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.
`
`5
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`
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 7 of 22 PageID #:
`6250
`
`Petitions filed by technology
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`Mechanical &
`Business Method
`396
`26%
`
`1,513
`Total
`
`Electrical/Computer
`921
`61%
`
`Chemical
`98
`7%
`Bio/Pharma
`78
`5%
`Design
`20
`1%
`
`6
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`
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 8 of 22 PageID #:
`6251
`
`Petitions filed by month
`(Sept. 2020 and Previous 12 Months: Sept. 1, 2019 to Sept. 30, 2020)
`(1,429 IPRs in FY20)
`
`144
`
`150
`
`97
`
`99
`
`74
`
`79
`
`Sep-19
`
`88
`
`85
`
`IPR
`
`3 5 2 3 1
`Sep-19
`
`(64 PGRs in FY20)
`10 9 9 7 6 3 4 5
`PGR
`
`Sep-20
`
`5
`
`0 0
`
`Sep-19
`
`152
`
`155
`
`151
`
`133
`
`119
`
`Sep-20
`(20 CBMs in FY20)
`8
`
`0 0 2 2 0 1 1 0 1
`CBM
`Sep-20
`
`The Office will not consider a CBM petition filed on or after September 16, 2020.
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`7
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 9 of 22 PageID #:
`6252
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`Institution rates by petition
`
`(FY16 to FY20: Oct. 1, 2015 to Sept. 30, 2020)
`
`Institution rate 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.
`
`8
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 10 of 22 PageID #:
`6253
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`Institution rates by patent
`
`(FY16 to FY20: Oct. 1, 2015 to Sept. 30, 2020)
`
`A patent is “instituted” if any petition challenging that patent is instituted. A patent is
`“denied” if no petitions challenging that patent are instituted. Patents that have not
`received a Decision on Institution are not included in this data set.
`
`9
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`
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 11 of 22 PageID #:
`6254
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`Institution rates by patent and by petition
`(FY16 to FY20: Oct. 1, 2015 to Sept. 30, 2020)
`
`73%
`
`67%
`
`69%
`
`63%
`
`67%
`
`60%
`
`70%
`
`63%
`
`by Patent
`64%
`
`56%
`
`by Petition
`
`FY16
`
`FY17
`
`FY18
`
`FY19
`
`FY20
`
`10
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`
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 12 of 22 PageID #:
`6255
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`Institution rates by technology
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`Bio/Pharma
`
`Chemical
`
`Design
`
`Electrical/Computer
`
`Mechanical &
`Business Method
`
`14%
`
`48%
`
`59%
`
`58%
`
`55%
`
`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.
`
`11
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 13 of 22 PageID #:
`6256
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`Settlements
`(FY16 to FY20: Oct. 1, 2015 to Sept. 30, 2020)
`
`Settlement Rate
`26%
`
`Settlements
`Post-
`Institution
`Pre-
`Institution
`
`436
`194
`
`242
`
`FY16
`
`26%
`
`436
`187
`
`249
`
`FY17
`
`25%
`
`401
`
`201
`
`200
`
`FY18
`
`31%
`
`502
`
`243
`
`259
`
`FY19
`
`22%
`
`309
`146
`
`163
`
`FY20
`
`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.
`
`12
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 14 of 22 PageID #:
`6257
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`Outcomes by petition
`
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`FWD patentability or unpatentability reported with respect to the claims at issue in the FWD. Joined cases are excluded.
`
`13
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 15 of 22 PageID #:
`6258
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`Outcomes by patent
`
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`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.
`
`14
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 16 of 22 PageID #:
`6259
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`Outcomes by claim challenged
`
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`15
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 17 of 22 PageID #:
`6260
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`Claim outcomes
`(FY20: Oct. 1, 2019 to Sept. 30, 2020)
`
`*”No DI” and “No FWD” means the
`claim was challenged but not
`addressed in a DI/FWD, e.g., due to
`settlement.
`
`28% of challenged claims and 53% of
`instituted claims were found
`unpatentable by a preponderance of the
`evidence in FY20.
`
`16
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 18 of 22 PageID #:
`6261
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`All patents, fiscal year 2020:
`
`The area inside each circle is scaled to the number of patents in the category.
`
`17
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 19 of 22 PageID #:
`6262
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`Appendix
`
`This presentation, as well as appendices are available on PTAB’s statistics webpage:
`https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board/statistics
`
`Appendix A: Motion to Amend Study (Installment 6, through March 31, 2020)
`– A report on the outcomes of pre-pilot motions to amend in AIA trials and some limited data
`for motions to amend filed under the Office’s pilot program.
`– Originally published in July 2020.
`Appendix B: Trial statistics by patent and by claims
`– A report providing various AIA trial statistics, including results by petition, by patent, and by
`claim; also includes an update on multiple petitions
`– Originally presented in June 2020.
`Appendix C: Methodology for FY20 Roundup Statistics
`– Technical details of the methodology used in generating the FY20 Outcome Roundup.
`
`18
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 20 of 22 PageID #:
`6263
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`Questions? Comments? Suggestions?
`We welcome your feedback.
`
`Please direct questions, comments, or suggestions relating to this presentation, or other statistical
`or data-related matters to:
`PTABStatisticsQuestions@USPTO.GOV
`
`Please direct comments, questions, or suggestions relating to AIA proceedings in general to:
`PTABAIATrialSuggestions@USPTO.GOV
`
`19
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 21 of 22 PageID #:
`6264
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`Want to know more about PTAB?
`Please visit our website:
`
`https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board
`
`PTAB AIA Trials Website:
`https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board/trials
`
`PTAB Statistics Website (updated monthly):
`https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board/statistics
`
`PTAB Databases and Open Data (updated daily):
`https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board/ptab-it-systems
`
`20
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`Case 2:21-cv-00072-JRG-RSP Document 180-3 Filed 10/25/21 Page 22 of 22 PageID #:
`6265
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