`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 1 of 27
`
`EXHIBIT 5
`EXHIBIT 5
`
`
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 2 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2020
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81 1.…………................................................
`3954
`a. By patent owner
`b. by other member of the public
`10056
`c. By order of Commissioner
`175
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3843
`5279
`4790
`273
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`2020
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`600
`690
`603
`697
`734
`780
`
`14185
`27.9%
`70.9%
`1.2%
`
`27.1%
`37.2%
`33.8%
`1.9%
`
`No
`305
`355
`244
`222
`191
`187
`163
`198
`
`4. Number known to be in litigation…………........................................................................
`
`5428
`
`38.3%
`
`5. Decisions on requests 2 ………….................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`14185
`92.2%
`
`8.3%
`
`13082
`12888
`194
`1183
`1103
`80
`
`1103
`47.6%
`52.4%
`
`525
`578
`
`1/2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 3 of 27
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`25.7 (mos.)
`19.3 (mos.)
`
`8. Reexam certificate claim analysis:3
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`6%
`3%
`22%
`
`14%
`10%
`44%
`
`0%
`0%
`1%
`
`Overall Numbers
`
`20.9%
`13.1%
`66.0%
`
`2672
`1668
`8424
`
`9. Total ex parte reexamination certificates issued (1981 – present) …………………………………
`
`12764
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3960
`a. All claims confirmed
`20.4%
`b. All claims canceled
`10.0%
`c. Claims changed
`69.6%
`b. Certificates – 3rd PARTY REQUESTER
`8630
`a. All claims confirmed
`21.4%
`b. All claims canceled
`14.2%
`c. Claims changed
`64.4%
`174
`c. Certificates – COMMISSIONER INITIATED REEXAM
`a. All claims confirmed
`9.8%
`b. All claims canceled
`26.4%
`c. Claims changed
`63.8%
`
`809
`396
`2755
`
`1846
`1226
`5558
`
`17
`46
`111
`
`2/2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 4 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2019
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3919
`b. by other member of the public
`9893
`c. By order of Commissioner
`175
`
`13987
`28%
`71%
`1%
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3791
`5214
`4732
`250
`
`27%
`37%
`34%
`2%
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`600
`690
`603
`697
`734
`780
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`
`No
`305
`355
`244
`222
`191
`187
`163
`
`4. Number known to be in litigation…………........................................................................
`
`1938
`
`14%
`
`5. Decisions on requests 2 ………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`12905
`12718
`187
`1277
`1225
`52
`
`524
`702
`
`14130
`91%
`
`9%
`
`1226
`43%
`57%
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`1/2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 5 of 27
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`25.8 (mos.)
`19.4 (mos.)
`
`8. Total ex parte reexamination certificates issued (1981 ‐ present)………………..
`Owner
`3rd Party Comm'r
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`6%
`3%
`19%
`
`15%
`10%
`46%
`
`0%
`0%
`1%
`
`11980
`
`Overall Numbers
`
`20.7%
`12.7%
`66.6%
`
`2480
`1517
`7983
`
`9. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3325
`a. All claims confirmed
`21%
`b. All claims canceled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`8481
`a. All claims confirmed
`21%
`b. All claims canceled
`14%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`174
`a. All claims confirmed
`10%
`b. All claims canceled
`27%
`c. Claims changed
`63%
`
`693
`300
`2332
`
`1769
`1170
`5542
`
`18
`47
`109
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`2/2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 6 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2018
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`4137
`b. by other member of the public
`9825
`c. By order of Commissioner
`43
`
`14005
`30%
`70%
`0%
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3782
`5270
`4717
`236
`
`27%
`38%
`34%
`2%
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`601
`691
`605
`698
`736
`781
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`2018
`
`No
`305
`355
`243
`225
`189
`189
`
`4. Number known to be in litigation…………........................................................................
`
`4731
`
`34%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`data as of 9/30/2018
`
`12042
`11891
`151
`1136
`1089
`47
`
`586
`1686
`
`13178
`91%
`
`9%
`
`2272
`26%
`74%
`
`27.7 (mos.)
`19.8 (mos.)
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 7 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`Overall
`
`a. All claims confirmed
`b. All claims canceled
`c. Claims changed
`
`6%
`3%
`20%
`
`15%
`10%
`47%
`
`0%
`0%
`0%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2391
`b. Certificates with all claims canceled
`1404
`c. Certificates with claims changes
`7608
`
`21%
`12%
`67%
`
`11403
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3337
`a. All claims confirmed
`21%
`b. All claims canceled
`9%
`c. Claims changed
`69%
`b. Certificates – 3rd PARTY REQUESTER
`8362
`a. All claims confirmed
`20%
`b. All claims canceled
`13%
`c. Claims changed
`62%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`41
`a. All claims confirmed
`5%
`b. All claims canceled
`56%
`c. Claims changed
`39%
`
`690
`293
`2313
`
`1681
`1062
`5174
`
`2
`23
`16
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`2/2
`data as of 9/30/2018
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 8 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2017
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3912
`b. by other member of the public
`9686
`c. By order of Commissioner
`43
`
`13641
`29%
`71%
`0%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3670
`5148
`4596
`227
`
`27%
`38%
`34%
`2%
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`
`No
`305
`355
`243
`219
`191
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`601
`691
`605
`698
`736
`781
`
`4. Number known to be in litigation…………........................................................................
`
`4648
`
`34%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`data as of 9/30/2016
`
`12047
`11913
`134
`1100
`1054
`46
`
`494
`562
`
`13147
`92%
`
`8%
`
`1056
`47%
`53%
`
`26.4 (mos.)
`19.4 (mos.)
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 9 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`Overall
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`46%
`
`0%
`0%
`0%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2391
`b. Certificates with all claims canceled
`1404
`c. Certificates with claims changes
`7608
`
`21%
`12%
`67%
`
`11403
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3296
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7917
`a. All claims confirmed
`21%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`41
`a. All claims confirmed
`5%
`b. All calims cancled
`56%
`c. Claims changed
`39%
`
`690
`293
`2313
`
`1681
`1062
`5174
`
`2
`23
`16
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`2/2
`data as of 9/30/2017
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 10 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2016
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3887
`b. by other member of the public
`9520
`c. By order of Commissioner
`43
`
`13450
`29%
`71%
`0%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`601
`691
`605
`698
`736
`781
`
`3632
`5085
`4521
`212
`
`27%
`38%
`34%
`2%
`
`Fiscal Yr.
`2013
`2014
`2015
`2015
`
`No
`305
`355
`243
`219
`
`4. Number known to be in litigation…………........................................................................
`
`4350
`
`32%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`data as of 9/30/2016
`
`11835
`11704
`131
`1094
`1048
`46
`
`492
`556
`
`12929
`92%
`
`8%
`
`1048
`47%
`53%
`
`25.77 (mos.)
`20.2 (mos.)
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 11 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`45%
`
`0%
`0%
`0%
`
`Overall
`
`21%
`12%
`66%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2337
`b. Certificates with all claims canceled
`1339
`c. Certificates with claims changes
`7303
`
`10979
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3270
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7519
`a. All claims confirmed
`22%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`41
`a. All claims confirmed
`5%
`b. All calims cancled
`56%
`c. Claims changed
`39%
`
`685
`291
`2294
`
`1631
`999
`4889
`
`2
`23
`16
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`
`data as of 9/30/2014
`
`2/2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 12 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2015
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3957
`b. by other member of the public
`9014
`c. By order of Commissioner
`165
`
`13136
`30%
`69%
`1%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`268
`1996
`
`No
`243
`297
`307
`392
`359
`379
`392
`418
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`376
`350
`385
`318
`296
`272
`392
`441
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`524
`511
`643
`680
`658
`780
`759
`787
`
`3569
`5265
`4418
`220
`
`27%
`40%
`34%
`2%
`
`Fiscal Yr.
`2013
`2014
`2015
`
`No
`296
`342
`240
`
`4. Number known to be in litigation…………........................................................................
`
`4819
`
`37%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`data as of 9/30/2015
`
`11623
`11492
`131
`1018
`980
`38
`
`496
`622
`
`12641
`92%
`
`8%
`
`1118
`44%
`56%
`
`26.5 (mos.)
`19.6 (mos.)
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 13 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`Overall
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`45%
`
`0%
`0%
`1%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2331
`b. Certificates with all claims canceled
`1334
`c. Certificates with claims changes
`7286
`
`21%
`12%
`67%
`
`10951
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3268
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7513
`a. All claims confirmed
`22%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`170
`a. All claims confirmed
`11%
`b. All calims cancled
`26%
`c. Claims changed
`63%
`
`685
`291
`2292
`
`1628
`998
`4887
`
`18
`45
`107
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`2/2
`data as of 9/30/2015
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 14 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2014
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3833
`b. by other member of the public
`9217
`c. By order of Commissioner
`167
`
`13217
`29%
`70%
`1%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`268
`1996
`
`No
`243
`297
`307
`392
`359
`379
`392
`418
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`376
`350
`385
`318
`296
`272
`392
`441
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`524
`511
`643
`680
`658
`780
`759
`787
`
`3516
`5167
`4330
`204
`
`27%
`39%
`33%
`2%
`
`Fiscal Yr.
`2013
`2014
`
`No
`305
`343
`
`4. Number known to be in litigation…………........................................................................
`
`4362
`
`33%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/3
`data as of 9/30/2014
`
`11402
`11271
`131
`1027
`990
`37
`
`665
`621
`
`12429
`92%
`
`8%
`
`1067
`62%
`58%
`
`22.3 (mos.)
`15.9 (mos.)
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 15 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`44%
`
`0%
`0%
`1%
`
`Overall
`
`22%
`12%
`66%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2303
`b. Certificates with all claims canceled
`1301
`c. Certificates with claims changes
`7094
`
`10698
`22%
`12%
`66%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3256
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7272
`a. All claims confirmed
`22%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`170
`a. All claims confirmed
`11%
`b. All calims cancled
`26%
`c. Claims changed
`63%
`
`685
`289
`2282
`
`1600
`967
`4705
`
`18
`45
`107
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`
`data as of 9/30/2014
`
`2/3
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 16 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2013
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………........................
`a. By patent owner
`b. by other member of the public
`c. By order of Commissioner
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr. No
`Fiscal Yr. No
`1981 78 (3 mos.
`1989
`243
`1982
`187
`1990
`297
`1983
`186
`1991
`307
`1984
`189
`1992
`392
`1985
`230
`1993
`359
`1986
`232
`1994
`379
`1987
`240
`1995
`392
`1988
`268
`1996
`418
`
`Fiscal Yr. No
`1997
`376
`1998
`350
`1999
`385
`2000
`318
`2001
`296
`2002
`272
`2003
`392
`2004
`441
`
`Fiscal Yr. No
`2005
`524
`2006
`511
`2007
`643
`2008
`680
`2009
`658
`2010
`780
`2011
`759
`2012
`787
`
`12874
`30%
`69%
`1%
`
`27%
`39%
`33%
`2%
`
`3833
`8874
`167
`
`3435
`5001
`4234
`204
`
`Fiscal Yr. No
`2013
`305
`
`4. Number known to be in litigation…………........................
`
`4167
`
`32%
`
`5. Decisions on requests…………........................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)
`a. Average pendency
`b. Median pendency
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`updated as of 11/22/13
`
`11013
`10891
`122
`1003
`968
`35
`
`498
`606
`
`12016
`92%
`
`8%
`
`1067
`47%
`57%
`
`27.8 (mos.)
`20.1 (mos.)
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 17 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requeste Requeste Initiate
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`8%
`40%
`
`0%
`0%
`1%
`
`Overall
`
`21%
`11%
`62%
`
`9. Total ex parte reexamination certificates issued (1981 – present) …………………… 9991
`a. Certificates with all claims confirmed
`2241
`22%
`b. Certificates with all claims canceled
`1205
`12%
`c. Certificates with claims changes
`6545
`66%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3279
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`68%
`b. Certificates – 3rd PARTY REQUESTER
`7174
`a. All claims confirmed
`21%
`b. All calims cancled
`12%
`c. Claims changed
`59%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`164
`a. All claims confirmed
`11%
`b. All calims cancled
`24%
`c. Claims changed
`64%
`
`682
`283
`2239
`
`1541
`882
`4201
`
`18
`40
`105
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`
`11/25/2013
`
`2/2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 18 of 27
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data ‐ September 30, 2012
`
`1. Total requests filed since start of ex parte reexam on 07/01/81.…………........................
`a. By patent owner
`3872
`b. by other member of the public
`8532
`c. By order of Commissioner
`165
`
`12569
`31%
`68%
`1%
`
`2. Number a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3373
`4831
`4178
`187
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr. No
`Fiscal Yr. No
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`268
`1996
`
`243
`297
`307
`392
`359
`379
`392
`418
`
`Fiscal Yr. No
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`376
`350
`385
`318
`296
`272
`392
`441
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`27%
`38%
`33%
`1%
`
`No
`524
`511
`643
`680
`658
`780
`759
`788
`
`4. Number known to be in litigation…………..............................................…………
`
`3994
`
`32%
`
`5. Decisions on requests…………..........................................................................................
`a. No. granted…………......................................................................... 10755
`(1) By examiner
`10762
`(2) By Director (on petition)
`122
`b. No. denied…………..........................................................................
`982
`(1) By examiner
`961
`(2) Reexam vacated
`35
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`496
`b. Third party requester
`582
`
`11737
`92%
`
`8%
`
`1078
`46%
`54%
`
`7. Overall reexamination pendency (Filing date to certificate issue date)
`a. Average pendency
`b. Median pendency
`
`27.9
`20.5
`
`(mos.)
`(mos.)
`
`1
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 19 of 27
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester Initiate
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`21%
`8%
`71%
`
`22%
`12%
`66%
`
`11%
`24%
`65%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2029
`b. Certificates with all claims canceled
`1063
`c. Certificates with claims changes
`6236
`
`Overall
`
`21%
`11%
`68%
`
`9328
`22%
`11%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3176
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`6026
`a. All claims confirmed
`22%
`b. All calims cancled
`12%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`164
`a. All claims confirmed
`11%
`b. All calims cancled
`23%
`c. Claims changed
`66%
`
`669
`280
`2227
`
`1348
`745
`3933
`
`18
`38
`108
`
`2
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 20 of 27
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`www.uspto.gov
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Ex Parte Reexamination Filing Data - September 30, 2011
`
`
`
`1. Total requests filed since start of ex parte reexam on 07/01/81 .................................... 117821
`
` a. By patent owner 3801 33%
` b. By other member of public 7815 66%
` c. By order of Commissioner 166 1%
`
`
`
`2. Number of filings by discipline
`
`
`a. Chemical Operation 3211 27%
`b. Electrical Operation 4405 37%
`c. Mechanical Operation 3987 34%
`d. Design Patents 179 2%
`
`
`
`3. Annual Ex Parte Reexam Filings
`
`Fiscal Yr. No. Fiscal Yr. No. Fiscal Yr. No. Fiscal Yr. No.
`
` 1981 78 (3 mos.) 1989 243 1997 376 2005 524
` 1982 187 1990 297 1998 350 2006 511
` 1983 186 1991 307 1999 385 2007 643
` 1984 189 1992 392 2000 318 2008 680
` 1985 230 1993 359 2001 296 2009 658
` 1986 232 1994 379 2002 272 2010
` 780
` 1987 240 1995 392 2003 392 2011 759
` 1988 268 1996 418 2004 441
`
`
`4. Number known to be in litigation...….……...............................3894……………33%
`
`
`5. Decisions on requests…………………………………………………………………..11262
`
`a. No. granted…………………………………………………… ….. 10333………….........92%
`
`
`
`(1) By examiner
`(2) By Director (on petition)
`
`b. No. denied …………………………………………………………929…………......8%
`
`10213
`120
`
`
`
`(1) By examiner
`(2) Reexam vacated
`
`
`894
`35
`
`
`1Of the requests received in FY 2011, 22 requests have not yet been accorded a filing date, and preprocessing of
`35 requests was terminated for failure to comply with the requirements of 37 CFR 1.510. See Clarification of Filing Date
`Requirements for Ex Parte and Inter Partes Reexamination Proceedings, Final Rule, 71 Fed. Reg. 44219 (August 4, 2006).
`
`
`
`1
`
`
`
`Case 6:21-cv-00735-ADA Document 29-6 Filed 12/30/21 Page 21 of 27
`
`
`
`
`
`6. Total examiner denials (includes denials reversed by Director)………….........................1014
`
` a. Patent owner requester 476 47%
`
`b. Third party requester 538 53%
`
`7. Overall reexamination pendency (Filing date to certificate issue date)
`
` a. Average pendency 25.6 (mos.)
` b. Median pendency 19.9 (mos.)
`
`8. Reexam certificate claim analysis: Owner 3rd Party Comm’r
` Requester Requester Initiated Overall
`
` a. All claims confirmed 21% 24% 11% 23%
` b. All claims cancelled 9% 12% 23% 11%
` c. Claims changes 70% 64%