`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 1 of 12 Page ID #:3607
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`UNITED STATES
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`PATENT AND TRADEMARK OFFICE
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 2 of 12 Page ID #:3608
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`Trial Statistics
`IPR, PGR, CBM
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`Patent Trial and Appeal Board
`January 2020
`
`
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 3 of 12 Page ID #:3609
`Petitions by Trial Type
`(All Time: Sept. 16, 2012 to Jan. 31, 2020)
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`Trial types include Inter Partes Review (IPR), Post Grant Review (PGR), and Covered
`Business Method (CBM).
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`3
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 4 of 12 Page ID #:3610
`Petitions Filed by Technology in FY20
`(FY20: Oct. 1, 2019 to Jan. 31, 2020)
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`4
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 5 of 12 Page ID #:3611
`Petitions Filed by Month
`(Jan. 2019 and Previous 12 Months: Jan. 1, 2019 to Jan. 31, 2020)
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`5
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`
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 6 of 12 Page ID #:3612
`Institution Rates
`(FY13 to FY20: Oct. 1, 2012 to Jan. 31, 2020)
`
`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.
`
`6
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`
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 7 of 12 Page ID #:3613
`Institution Rates by Technology
`(All Time: Sept. 16, 2012 to Jan. 31, 2020)
`
`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.
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`7
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 8 of 12 Page ID #:3614
`Pre-Institution Settlements
`(FY13 to FY20: Oct. 1, 2012 to Jan. 31, 2020)
`
`Settlement Rate
`
`Settlements
`
`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.
`
`8
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 9 of 12 Page ID #:3615
`Post-Institution Settlements
`(FY13 to FY20: Oct. 1, 2012 to Jan. 31, 2020)
`
`Settlement Rate
`
`Settlements
`
`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.
`
`9
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`
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 10 of 12 Page ID
`#:3616
`Status of Petitions
`(All Time: Sept. 16, 2012 to Jan. 31, 2020)
`
`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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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 11 of 12 Page ID
`#:3617
`Outcome of concluded proceedings
`(All time: Sept. 16, 2012 to Jan. 31, 2019)
`
`FWD 3034
`33%
`
`Institution Denied
`2,999
`33%
`
`Instituted
`FWD All
`Patentable
`Denied
`587
`2,838
`6%
`Mixed
`33%
`516 6%
`FWD Mixed 539
`6%
`
`Settled
`2,656
`29%
`
`FWD All Unpatentable
`1,908
`Settled
`21%
`2,554
`30%
`
`Requested Adverse
`Judgment
`371
`4%
`
`Percentage of the Final Written Decisions
`
`587 (19%)
`539 (18%)
`
`1,908 (63%)
`
`FWD All Patentable
`
`FWD Mixed
`
`FWD All Unpatentable
`
`Joined and dismissed cases are excluded.
`
`11
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`Case 2:19-cv-06301-AB-KS Document 113-5 Filed 11/20/20 Page 12 of 12 Page ID
`#:3618
`
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