Patent Assertion Entity Activity

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Figure 5.3: Subcategories for Study Sample <strong>Patent</strong>s in Computer & Communications and Other Electrical & Electronic Categories Note: Technology sub-classification for all “Computer & Communications” and “Other Electrical & Electronics” patents held by each type of Responding PAE. The percentages displayed in the chart are based only on the patents that are in one of these two categories. The sample includes 100% of the study utility and re-issue patents in these categories. Because such a large share of the study sample of patents were in the Computers & Communications and Other Electrical & Electronic categories, the report provides additional detail on the sub-categories describing the technology types of these patents. 315 Figure 5.3 shows the relative proportions of patents in the Computers & Communications and Other Electrical & Electronic patent categories. There were no dramatic differences in the composition of the patent holdings of the Litigation and Portfolio PAEs within these sub-categories. For both Litigation and Portfolio PAEs, the largest technology sub 315 Hall et al., supra note 9, App’x 1. 132
categories were Other Electrical & Electronic, Communications, and Computer Hardware and Software. Business method patents, a sub-category of the Computers & Communications category, did not account for a substantial proportion of the study patent sample compared to the general population. The preceding analysis describes the patents held by Study PAEs and Holding Entities, which consisted of both patents that were identified as forming the basis of a demand or litigation and those that were not. Portfolio PAEs in particular tended to assert via demand or litigation only a relatively small fraction of the patents in their portfolios, while ultimately licensing all of the patents they held. The FTC was interested in learning whether litigated patents came from different technology categories relative to total holdings, in part because litigated patents were an important source of revenue for Study PAEs. 316 To determine whether this was the case, the FTC evaluated the technology categories corresponding to patents that Study PAEs asserted in litigation. 316 The FTC also was interested in whether patents forming the basis of demands were in different technology categories relative to total holdings, but could not conduct this analysis since patents were frequently not specified in the initial demand. Therefore, the patents that were specified in demands likely did not represent an unbiased sample of patent technology categories of all patents asserted through demands. 133
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Patent Assertion Entity Activity AN
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Table of Contents EXECUTIVE SUMMARY
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Litigation Outcomes................
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Executive Summary and Recommendatio
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Table A.1: Categories of PAEs in FT
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generated royalties of less than $3
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most frequently by Study PAEs, or (
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litigations tended to settle early;
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in a timely manner would help allev
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In December 2015, however, an amend
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Chapter 1: Introduction and Backgro
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corresponded to various types of NP
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PAE’s enforcement of that patent
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In one of the earliest studies, Jam
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defendants that will arise in the l
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entrepreneurship and related invest
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and efficient marketplace for paten
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The FTC and the DOJ supported USPTO
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the brief observed that the share o
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Greater transparency of patent owne
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only egregious misconduct, as Justi
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In September 2013, the Commission b
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were intended to generate a sample
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The FTC’s study has two parts. Th
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Litigation PAEs: Litigation PAEs ty
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licenses. There was little overlap
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guaranteed revenue and zero risk. T
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agreements exclusively. These agree
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Larger Litigation PAEs also used th
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determine whether it has already li
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epresented as unique docket numbers
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Prior to initiating the study, the
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FTC examined the frequency with whi
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Study PAEs sent demands to relative
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from related PAEs may help them neg
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Electronic Product Manufacturing”
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arely generated license agreements
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In addition, four Responding PAEs a
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Litigation PAEs and Portfolio PAEs
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Table 3.1 provides the distribution
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Figure 3.5a: Technology Category of
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PAE cases and 44% of Litigation PAE
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Figure 3.6: Frequency Distribution
Page 87 and 88: Figure 3.7: Proportion of Study PAE
Page 89 and 90: portfolios of patents, which typica
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Page 95 and 96: Study PAEs Generated Approximately
Page 97 and 98: likely seeks to avoid the possibili
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Page 101 and 102: Figure 3.10a could be the result of
Page 103 and 104: Figure 3.11: Number of Licenses Inv
Page 105 and 106: granted licenses to firms operating
Page 107 and 108: Turning to specific assertion behav
Page 109 and 110: The preceding considerations have l
Page 111 and 112: Chapter 4 first describes how Wirel
Page 113 and 114: A Small Number of Targets Received
Page 115 and 116: These percentages suggest that both
Page 117 and 118: worldwide wireless chipset sales du
Page 119 and 120: with 75% of their settlements occur
Page 121 and 122: Wireless Respondents’ Licensing A
Page 123 and 124: Table 4.2: Percentage of Wireless P
Page 125 and 126: license with that entity, whereas P
Page 127 and 128: Most Wireless Licensees Operated in
Page 129 and 130: Conclusion The FTC’s goal in stud
Page 131 and 132: Patent assignments were frequently
Page 133 and 134: Figure 5.1: Size of Patent Holdings
Page 135 and 136: Classification. 309 As of the time
Page 137: while USPTO economists estimate tha
Page 141 and 142: More Than 75% of Study Patents Incl
Page 143 and 144: Affiliates and Holding Entities, he
Page 145 and 146: Figure 5.5: Age Distribution of Stu
Page 147 and 148: eceive more citations than other ca
Page 149 and 150: 1.5 and the median was 0.6, meaning
Page 151 and 152: Table 5.1: Percentage of Acquired P
Page 153 and 154: Appendix A: Glossary of Frequently
Page 155 and 156: “PAE Special Order” means the i
Page 157 and 158: Appendix B: Methodology Introductio
Page 159 and 160: contained more than 9,100 variants
Page 161 and 162: of the dispute as of the end of the
Page 163 and 164: Affiliates to a single industry. 37
Page 165 and 166: industry called “Management of Co
Page 167 and 168: the selected firms meet the FTC’s
Page 169 and 170: owning 10% or more of its stock.”
Page 171 and 172: Delaware avoided disclosing any inf
Page 173 and 174: SPECIFICATIONS A. Identification of
Page 175 and 176: (2) identify, from the following li
Page 177 and 178: (2) identify, from the following li
Page 179 and 180: (a) state the total amount paid in
Page 181 and 182: (3) did the Firm grant an exclusive
Page 183 and 184: H. Patent Assertion Information 1.
Page 185 and 186: Do not report revenue reported for
Page 187 and 188: f. Does the License relate to a Wir
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(e) provide a narrative response st
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1. Separately, for each year since
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APPENDIX A A. General Instructions
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“Patent” means a United States
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For district court and bankruptcy c
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Number Ending Reference Number Cust
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(i) (ii) (iii) (iv) For productions
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APPENDIX B Certification This Speci
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SPECIFICATIONS A. Identification of
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(1) state the jurisdiction; and (2)
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e. Identify, from the following lis
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(1) state the total revenue the Fir
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(1) identify the geographic restric
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F. Aggregate Cost Information 1. Se
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3. Produce, and provide a narrative
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Microsoft Word and PDF versions. Fo
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U.S. Patent numbers shall be provid
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(ii) Submit emails in image format
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Filename with extension Production
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(v) (vi) For each document withheld
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APPENDIX E: SUPPORTING STATEMENT FO
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“strongly urge[s] the FTC to foll
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The proposed case studies will prov
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What strategies do PAEs employ to a
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competition, innovation, and intell
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proposed requests “are a rational
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study questions and removed questio
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Some of the proposed requests for d
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Response: The Commission has narrow
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increase are not well understood.
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equests include interactions betwee
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In contrast, several commenters bel
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average burden for each of the appr
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enefits), and 320 research assistan
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PART B - COLLECTION OF INFORMATION
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stratum. The FTC will sum the two s
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Freedom and RPX use public sources
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The FTC will send one set of inform
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will have one entry for each acquis
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are two reasons why it is important
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Federal Trade Commission ftc.gov
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