Patent Assertion Entity Activity

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(B) are any of these Person(s) the employer of the named inventor of any Patent Asserted in the Litigation? (Y/N) (5) produce, and provide a narrative response identifying by Reference Number, all revenue sharing agreements. (6) provide a narrative response stating the amount shared with each Person and describing the method for calculating this amount. m. State the Firm’s total expenses relating to the Litigation from January 1, 2009 to the date of this Request. (1) are these expenses shared with any Person(s) outside the Firm? (Y/N) If yes: (a) state the total amount of expenses shared outside the Firm; (b) identify all Person(s) with whom expenses are shared; (c) produce, and provide a narrative response identifying by Reference Number, all expense sharing agreements; (d) produce, and provide a narrative response identifying by Reference Number, all Reports related to all expense sharing agreements; and (e) provide a narrative response stating the amount shared with each Person and describing the method for calculating this amount. n. State all projected revenues relating to the Litigation from the date of this Request. (1) provide a narrative response describing the method for calculating the projected revenue, e.g. as a fraction of revenue or a fee per unit sold. o. To the extent not identified above, produce, and provide a narrative response identifying by Reference Number, all agreements related to the Litigation and produce, and provide a narrative response identifying by Reference Number, all Reports related to the Litigation. 3. License Information: For each License executed since January 1, 2009 relating to a Patent Held by the Firm or a Patent in which the Firm has an Economic Interest a. Who is the Licensor(s)? b. Who is the Licensee(s)? c. Identify all Patent(s) Licensed. d. What is the effective date of the License agreement? e. Does the License relate to a Patent Held by the Firm? (Y/N) 16 C - 15
f. Does the License relate to a Wireless Patent Held by the Firm? (Y/N) g. Does the License relate to a Patent in which the Firm has an Economic Interest? (Y/N) h. Does the License relate to a Wireless Patent in which the Firm has an Economic Interest? (Y/N) i. For each Litigation related to the License: (1) state the jurisdiction in which the Litigation was commenced. (2) state the docket number of the Litigation. j. Does the License contain a field of use restriction? (Y/N) If yes: (1) state the specific field of use restriction ; and (2) identify, from the following list, in which sector(s) is the field of use restriction: Chemical, Computers & Communications, Drugs & Medical, Semiconductors, Other Electrical & Electronic, Mechanical, or Other. k. Does the License contain a geographic restriction? (Y/N) If yes: (1) identify the geographic restriction(s). l. State the duration of the License agreement? m. State the Licensed products or services. n. Does the License include any cross-License? (Y/N) If yes: (1) has the Firm assigned a value to the cross-License? (Y/N) If yes: (a) state the date of the most recent valuation; and (b) state the amount of the most recent valuation; and (c) provide a narrative response identifying by date and amount all prior valuations by, or on behalf of, the Firm; and (d) produce, and provide a narrative response identifying by Reference Number, all related Reports. (2) produce, and provide a narrative response identifying by Reference Number, the cross-License. (3) provide a narrative response identifying the number of Patents cross- Licensed, as well as whether the cross-License is exclusive, whether there are any geographic limitations to the cross-License, whether there are any field of use limitations to the cross-License, and whether the field of use restriction is in the following sectors: Chemical, Computers & Communications, Drugs & Medical, Semiconductors, Other Electrical & Electronic, Mechanical, or Other. 17 C - 16
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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
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Figure 3.7: Proportion of Study PAE
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portfolios of patents, which typica
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manner and extent to which Respondi
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as quickly as possible. For Portfol
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Study PAEs Generated Approximately
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likely seeks to avoid the possibili
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factor of 10. This analysis include
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Figure 3.10a could be the result of
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Figure 3.11: Number of Licenses Inv
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granted licenses to firms operating
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Turning to specific assertion behav
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The preceding considerations have l
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Chapter 4 first describes how Wirel
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A Small Number of Targets Received
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These percentages suggest that both
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worldwide wireless chipset sales du
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with 75% of their settlements occur
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Wireless Respondents’ Licensing A
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Table 4.2: Percentage of Wireless P
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license with that entity, whereas P
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Most Wireless Licensees Operated in
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Conclusion The FTC’s goal in stud
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Patent assignments were frequently
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Figure 5.1: Size of Patent Holdings
Page 135 and 136: Classification. 309 As of the time
Page 137 and 138: while USPTO economists estimate tha
Page 139 and 140: categories were Other Electrical &
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: Do not report revenue reported for
Page 189 and 190: (e) provide a narrative response st
Page 191 and 192: 1. Separately, for each year since
Page 193 and 194: APPENDIX A A. General Instructions
Page 195 and 196: “Patent” means a United States
Page 197 and 198: For district court and bankruptcy c
Page 199 and 200: Number Ending Reference Number Cust
Page 201 and 202: (i) (ii) (iii) (iv) For productions
Page 203 and 204: APPENDIX B Certification This Speci
Page 205 and 206: SPECIFICATIONS A. Identification of
Page 207 and 208: (1) state the jurisdiction; and (2)
Page 209 and 210: e. Identify, from the following lis
Page 211 and 212: (1) state the total revenue the Fir
Page 213 and 214: (1) identify the geographic restric
Page 215 and 216: F. Aggregate Cost Information 1. Se
Page 217 and 218: 3. Produce, and provide a narrative
Page 219 and 220: Microsoft Word and PDF versions. Fo
Page 221 and 222: U.S. Patent numbers shall be provid
Page 223 and 224: (ii) Submit emails in image format
Page 225 and 226: Filename with extension Production
Page 227 and 228: (v) (vi) For each document withheld
Page 229 and 230: APPENDIX E: SUPPORTING STATEMENT FO
Page 231 and 232: “strongly urge[s] the FTC to foll
Page 233 and 234: The proposed case studies will prov
Page 235 and 236: 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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