Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 1 of 13 PageID #: 32121
`Case 5:19-cv-00036—RWS Document 629-4 Filed 02/17/21 Page 1 of 13 PageID #: 32121
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`EXHIBIT 4
`EXHIBIT 4
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`Case 5:19-cv-00036—RWS Document 629-4 Filed 02/17/21 Page 1 of 13 PageID #: 32121
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`EXHIBIT 4
`EXHIBIT 4
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 2 of 13 PageID #: 32122
`Case 5:19-cv-OOO36-RWS Document 629-4 Filed 02/17/21 Page 2 of 13 PageID #: 32122
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`UNITED STATES
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`PATENT AND TRADEMARK OFFICE
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 3 of 13 PageID #: 32123
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`Trial Statistics
`IPR, PGR, CBM
`Patent Trial and Appeal Board
`June 2020
`
`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 4 of 13 PageID #: 32124
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`Petitions by Trial Type
`(All Time: Sept. 16, 2012 to Jun. 30, 2020)
`
`IPR
`10,860
`93%
`
`11,687
`Total
`
`CBM
`593
`5%
`PGR
`234
`2%
`
`Trial types include Inter Partes Review (IPR), Post Grant Review (PGR), and Covered
`Business Method (CBM).
`
`3
`
`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 5 of 13 PageID #: 32125
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`Petitions Filed by Technology in FY20
`(FY20: Oct. 1, 2019 to Jun. 30, 2020)
`
`Mechanical &
`Business Method
`252
`24%
`
`1,053
`Total
`
`Electrical/Computer
`654
`62%
`
`Chemical
`66
`6%
`Bio/Pharma
`61
`6%
`Design
`20
`2%
`
`4
`
`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 6 of 13 PageID #: 32126
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`Petitions Filed by Month
`(Jun. 2020 and Previous 12 Months: Jun. 1, 2019 to Jun. 30, 2020)
`(990 IPRs in FY20)
`
`112
`
`109
`
`119
`
`97
`
`99
`
`144
`
`150
`
`152
`
`119
`
`74
`
`79
`
`88
`
`85
`
`Jun-19
`
`(52 PGRs in FY20)
`10 9 9 7 6
`0 2 5 3 5 2 3 1
`PGR
`Jun-19
`
`Jun-20
`
`IPR
`
`Jun-20
`(11 CBMs in FY20)
`
`0 0 0 0 0
`
`Jun-19
`
`5
`
`0 0 2 2 0 1 1
`CBM
`Jun-20
`
`5
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`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 7 of 13 PageID #: 32127
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`Institution Rates
`(FY13 to FY20: Oct. 1, 2012 to Jun. 30, 2020)
`87%
`
`Instituted
`
`Denied
`
`75%
`
`664
`
`223
`
`191
`
`29
`
`68%
`
`67%
`
`1,012
`
`1,011
`
`469
`
`496
`
`63%
`
`954
`
`558
`
`60%
`
`859
`577
`
`63%
`
`859
`
`56%
`
`510
`
`478
`376
`
`FY18
`FY17
`FY16
`FY15
`FY14
`FY13
`Institution rate for each fiscal year 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.
`
`FY19
`
`FY20
`
`6
`
`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 8 of 13 PageID #: 32128
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`Institution Rates by Technology
`(All Time: Sept. 16, 2012 to Jun. 30, 2020)
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`Bio/Pharma
`
`Chemical
`
`Design
`
`59% (542 of 924)
`
`61% (348 of 572)
`
`38% (20 of 52)
`
`Electrical/Computer
`
`66% (3,573 of 5,420)
`
`Mechanical &
`Business Method
`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.
`
`67% (1,545 of 2,298)
`
`7
`
`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 9 of 13 PageID #: 32129
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`Pre-Institution Settlements
`(FY13 to FY20: Oct. 1, 2012 to Jun. 30, 2020)
`
`16%
`
`291
`
`14%
`
`242
`
`14%
`
`249
`
`12%
`
`200
`
`16%
`
`259
`
`Settlement Rate
`12%
`
`9%
`
`127
`
`Settlements
`23
`
`FY19
`FY18
`FY17
`FY16
`FY15
`FY14
`FY13
`Settlement rate for each year is calculated by dividing pre-institution settlements by
`the sum of proceedings instituted, denied institution, dismissed, terminated with a
`request for adverse judgment, and settled before decision on institution.
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`12%
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`124
`
`FY20
`
`20%
`
`18%
`
`16%
`
`14%
`
`12%
`
`10%
`
`8%
`
`6%
`
`4%
`
`2%
`
`0%
`
`8
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`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 10 of 13 PageID #: 32130
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`Post-Institution Settlements
`(FY13 to FY20: Oct. 1, 2012 to Jun. 30, 2020)
`Settlement Rate
`90%
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`40%
`
`29%
`
`212
`
`22%
`
`194
`
`22%
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`187
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`24%
`
`201
`
`29%
`
`243
`
`Settlements
`18
`
`110
`
`FY19
`FY18
`FY17
`FY16
`FY15
`FY14
`FY13
`Settlement rate for each year is calculated by dividing post-institution settlements by
`proceedings terminated post-institution (i.e., settled, dismissed, terminated with a
`request for adverse judgment, and final written decision), excluding joined cases.
`
`21%
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`109
`
`FY20
`
`85%
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`65%
`
`45%
`
`25%
`
`5%
`
`-15%
`
`-35%
`
`-55%
`
`-75%
`
`9
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`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 11 of 13 PageID #: 32131
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`Status of Petitions
`(All Time: Sept. 16, 2012 to Jun. 30, 2020)
`
`11,687
`
`727
`
`1,515 134
`
`45
`
`6,056
`
`3,210
`
`538
`
`563
`
`1,272
`
`76
`
`346
`
`3,261
`
`Decisions
`Final Writ.
`Adverse J.
`Requested
`
`Dismissed
`
`Settled
`
`Pending
`
`Joined
`
`Instituted
`
`Denied
`
`Adverse J.
`Requested
`
`Dismissed
`
`Settled
`
`Pending
`
`Petitions
`
`These figures reflect the latest status of each petition. The outcomes of decisions on
`institution responsive to requests for rehearing are incorporated. Once joined to a base
`case, a petition remains in the Joined category regardless of subsequent outcomes.
`
`10
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`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 12 of 13 PageID #: 32132
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`Outcome of Concluded Proceedings
`(All Time: Sept. 16, 2012 to Jun. 30, 2020)
`
`Institution Denied
`3,210
`33%
`
`FWD All
`Patentable
`640
`7% FWD Mixed
`588
`6%
`
`FWD
`3,261
`34%
`
`Settled
`2,787
`29%
`
`FWD All
`Unpatentable
`2,033
`21%
`
`Requested
`Adverse J.
`391
`4%
`
`Percentage of Final Written Decisions
`640 20%
`FWD All Patentable
`588 18%
`FWD Mixed
`
`2,033 62%
`
`FWD All Unpatentable
`
`Joined and dismissed cases are excluded.
`
`11
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`
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`Case 5:19-cv-00036-RWS Document 629-4 Filed 02/17/21 Page 13 of 13 PageID #: 32133
`Case 5:19-cv-OOO36-RWS Document 629-4 Filed 02/17/21 Page 13 of 13 PageID #: 32133
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