Trial StatisticsIPR, PGR, CBMPatent Trial and Appeal Board September 2017

IPR6,95592%

CBM5247%

PGR781%

7,557 Total

3

Petitions by Trial Type (All Time: 9/16/12 to 9/30/17)

Trial types include Inter Partes Review (IPR), Post Grant Review (PGR), and Covered Business Method (CBM).

Electrical/Computer1,12259%

Mechanical & Business Method

41722%

Chemical1277%

Bio/Pharma22111%

Design141%

1,901 Total

4

Petitions Filed by Technology in FY17(FY17: 10/1/16 to 9/30/17)

10

1 0 00

5

10

Sep-16 Sep-17CBM

(48 CBMs in FY17)

0

72

4 4

0

5

10

Sep-16 Sep-17PGR

(41 PGRs in FY17)

237

116135

119 124

100125150175200225250

Sep-16 Sep-17

IPR

(1,812 IPRs in FY17)

5

Petitions Filed by Month (September 2017 and Previous 12 Months: 9/1/16 to 9/30/17)

NTE

NTE

NTENTE NTE

86% 81%86% 88%

64%71%

85% 84% 83% 87%

49%63%

35% 37% 37%

Pre Post Pre Post Pre Post Pre Post Pre Post

Bio/Pharma Chemical Design Electrical/Computer Mechanical &Business Method

6

Preliminary Response Filing RatesPre- and Post-Rule To Allow New Testimonial Evidence (NTE)(All Time: 9/16/12 to 9/30/17)

The rule to allow new testimonial evidence was effective May 2, 2016.

191

664

1,012 1,011 955

29223

469 496 557

87%

75%68% 67% 63%

0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

2,000

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

FY13 FY14 FY15 FY16

Instituted Denied

7

FY17

Institution Rates(FY13 to FY17: 10/1/12 to 9/30/17)

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.

70% (982 of 1,407)

69% (2,256 of 3,270)

40% (16 of 40)

68% (252 of 370)

63% (327 of 520)

Mechanical &Business Method

Electrical/Computer

Design

Chemical

Bio/Pharma

8

Institution Rates by Technology(All Time: 9/16/12 to 9/30/17)

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.

23

127

291242 249

9%

12%

16%

14% 14%

0%

2%

4%

6%

8%

10%

12%

14%

16%

18%

20%

FY13 FY14 FY15 FY16 FY17

9

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.

Settlements

Settlement Rate

Pre-Institution Settlements(FY13 to FY17: 10/1/12 to 9/30/17)

18

110

212 194 187

90%

40%29% 22% 22%

-75%

-55%

-35%

-15%

5%

25%

45%

65%

85%

FY13 FY14 FY15 FY16 FY17

10

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.

Settlements

Settlement Rate

Post-Institution Settlements(FY13 to FY17: 10/1/12 to 9/30/17)

7,557

3,850

1,771

918932 71 29

1,757 354725

721 38 241

All Claims: 1,153 (65%)Some Claims: 287 (16%)

No Claim: 331 (19%)

Peti

tion

s

Ope

n Pr

e-In

stit

utio

n

Sett

led

Dis

mis

sed

Req.

Adv

.Ju

dgm

ent

Den

ied

Inst

itut

ed

Join

ed

Ope

n Po

st-

Inst

itut

ion

Sett

led

Dis

mis

sed

Req.

Adv

.Ju

dgm

ent

Fina

l Wri

t.D

ecis

ions

Instituted Claims Unpatentable

11

Status of Petitions(All Time: 9/16/12 to 9/30/17)

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.