Technology Transfer Annual Report

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1 Technology Transfer Annual Report 2011

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3 Table of Contents 2011 Technology Transfer Advisory Committee 2 Message from the Executive Director 3 Technology Transfer Activity and Financial Information Introduction 5 Technology Transfer Activity 6 Invention Reporting 6 Patent Activity 8 Licensing and Related Activity 10 Startup Company Formation 16 Technology Transfer Income 18 Total Income from Licensing 18 Royalty and Fee Income 20 Payments to Joint Holders 21 Income Associated with Patent/Legal Expenses 21 Technology Transfer Expenses 22 Legal and Other Direct Expenses Income Distributions 24 Inventor Shares 24 General Fund Share 25 Research Allocation Share 25 Income after Mandatory Distributions UC Technology Transfer on the Web 32

4 2011 Technology Transfer Advisory Committee General oversight of the UC Technology Transfer Program is under the purview of the Technology Transfer Advisory Committee (TTAC). This standing committee is chaired by the Executive Vice President for Academic Affairs, and meets periodically to advise the UC President on technology transfer policy and guide the direction of the overall program. Barbara H. Allen-Diaz Kathryn A. Atchison Steven V.W. Beckwith Sherylle Mills Englander Cheryl A. Fragiadakis Warren M. Gold Joel B. Kirschbaum Charles F. Louis Bruce H. Margon David McGee Richard Miller Carol Mimura Lawrence H. Pitts Michael Reese Hans Schöllhammer Associate Vice President, Agricultural & Natural Resources, UCOP Vice Provost, Intellectual Property and Industry Relations, and Associate Vice Chancellor for Research, UCLA Vice President for Research and Graduate Studies, UCOP Director, Office of Technology & Industry Alliances, UCSB Department Head, Technology Transfer and Intellectual Property Management, LBNL Professor, Medicine, UCSF Director, Office of Technology Management, UCSF Vice Chancellor for Research, UCR Vice Chancellor for Research, UCSC Executive Director, InnovationAccess, UCD Associate Vice Chancellor for Research, UCM Assistant Vice Chancellor, Intellectual Property & Industry Research Alliances, UCB Provost and Executive Vice President for Academic Affairs, UCOP Associate Vice President Business Operations, UCOP Professor, Global Economics & Management, UCLA P. Martin Simpson, Jr. Managing Counsel, Office of the General Counsel, UCOP William T. Tucker Mark W. Warner Executive Director, Innovation Alliances and Services, UCOP Associate Vice Chancellor for Administration, UCI Fiscal Year 2011 Office of the President Executive Vice President, Academic Affairs Innovation Alliances and Services 1111 Franklin Street, 5th Floor, Oakland, CA

5 Message from the Executive Director The travails of the California state budget and its impact on the University bring into sharp focus the important role UC plays in supporting our technology-centric business environment. From agriculture to aerospace, knowledge created by UC s research enterprise helps to ensure that our state remains a leader in all aspects of its business endeavors. Technology transfer from around the UC system plays a vital part in our efforts by making the latest patentable inventions available to business. This past year, we inaugurated the first systemwide Proof of Concept Grant program in association with the Discovery Grant Program to fund key experiments to demonstrate the commercial viability of inventions in our portfolio. Based on experience at other universities, we predict that this funding will lead to business relationships that will translate these ideas into products and services. UC s portfolio of active inventions increased by 4.6% to 10,341, the number of U.S. patents owned by UC increased by 2.6% to 3,900, and the number of active license agreements increased 6.1% to 2,104. The number of inventions newly covered by a utility license, option, or letter of intent during the fiscal year (including new inventions added to existing agreements) increased by 8.4% over the number covered during the previous fiscal year. Total income from technology transfer (net of legal settlements) available for distributions to inventors and the University reached a record level of $164.6 million this year, an increase of $71.8 million over the previous year. This record total included $86.2 million derived from a prepayment of future royalty income for anti-cancer drugs from UC Berkeley. This Berkeley-based anti-cancer drug points out an important reality of technology transfer: it can take many years and many twists and turns in the life of a business for our early stage inventions to make it to the market. This potential life-extending product started with a disclosure in 1996 and received FDA approval 15 years later in Technology transfer s most important role is to move as many ideas as possible out of the lab so that business can invest their capital in search of successful products that can fully realize the public benefits of UC research. The Berkeley example also illustrates another important role that UC plays: helping to launch and foster startup companies based on UC inventions. The original license to the underlying Berkeley invention was to a small company which developed the technology to the point that it was acquired by a more established company. The established company was subsequently acquired by a large pharmaceutical company, principally because of the potential for the final product. In fiscal year 2011, 58 startup companies were founded on UC technologies, including 44 companies based in California. We can t predict their fate at this early stage, but we are confident that many will become successful, and some may even lay the foundation for new industries that, as experience in other sectors shows, will remain close to the site of their origin in California. Sincerely, William Tucker Executive Director, Innovation Alliances and Services 3

6 Technology Transfer Activity and Financial Information 4 Innovation Alliances and Services

7 Technology Transfer Activity and Financial Information Introduction This document reports technology transfer activity and associated financial results arising under the University of California s Patent Policy for fiscal year 2011 (FY11). UC s technology transfer program, administered by the offices listed on the right, operates under a model of distributed responsibilities and authorities that balances activities carried out by the central UC Office of the President (UCOP) with activities carried out by offices at the individual UC campuses and at the Lawrence Berkeley National Laboratory (LBNL), a U.S. Department of Energy (DOE) Laboratory managed by the University. Under this distributed approach, the campuses and LBNL develop and shape technology licensing programs to fit their unique needs as put forth in memoranda of understanding negotiated with UCOP. In all instances, UCOP retains responsibility for certain functions, such as policy development and guidance, legal oversight, legislative analysis, information management, and a variety of other services in support of the overall program. UCOP s activities are coordinated by the Innovation Alliances and Services (IAS) unit within UCOP s Office of Research and Graduate Studies. Although LBNL manages most of its own inventions, IAS oversees a small portfolio of older inventions from LBNL and another DOE Laboratory historically associated with UC, the Lawrence Livermore National Laboratory. Most of these cases have co-inventors from the UC campuses. This Annual Report covers two distinct technology portfolios: the UC campus portfolio and the LBNL portfolio. Information relating to these two portfolios is reported separately because certain aspects of technology transfer are different at LBNL as compared to the rest of the University. These differences include a reporting period for LBNL that covers a fiscal year ending September 30, 2011, as compared to June 30, 2011, for the rest of the University. Also, while LBNL manages intellectual property in a way that is generally consistent with the principles and practices of the rest of UC, there are some important operational differences, such as LBNL s greater use of in-house patent attorneys. A summary of technology transfer activity and associated financial results for both portfolios can be found in Exhibits 28 through 33. University of California Technology Transfer Offices UC Office of the President (UCOP) Innovation Alliances and Services (IAS) UC Berkeley (UCB) Office of Intellectual Property & Industry Research Alliances (IPIRA) UC Davis (UCD) UC Davis InnovationAccess UC Irvine (UCI) Office of Technology Alliances (OTA) UC Los Angeles (UCLA) Office of Intellectual Property & Industry Sponsored Research (OIP-ISR) UC Merced (UCM) Office of Technology Transfer (OTT) UC Riverside (UCR) Office of Technology Commercialization (OTC) UC Santa Barbara (UCSB) Office of Technology & Industry Alliances (TIA) UC Santa Cruz (UCSC) Office for Management of Intellectual Property (OMIP) UC San Diego (UCSD) Technology Transfer Office (TTO) UC San Francisco (UCSF) Office of Technology Management (OTM) Lawrence Berkeley National Laboratory (LBNL) Technology Transfer and Intellectual Property Management (TTIPM) Annual Report

8 Technology Transfer Activity and Financial Information Technology Transfer Activity Exhibit 1: Invention Disclosures 1 Exhibit 2: Invention Disclosures Per $10 Million Research Expenditures ,411 1,497 1,482 1,565 1, FY07 FY08 FY09 FY10 FY11 0 FY07 FY08 FY09 FY10 FY11 1. Invention disclosures managed by IAS and by the campus offices. See Exhibit 32 for LBNL s invention disclosures. 1. The number of inventions managed by IAS and by the campus offices that were disclosed during the fiscal year, divided by a five-year running average of the research expenditures data reported annually to the National Science Foundation/Division of Science Resources Statistics for its Survey of Research and Development Expenditures at Universities and Colleges. Five-year running averages are calculated as the sum of the expenditures for the fiscal year and the four preceding fiscal years, divided by five. Invention Reporting During the 12-month period ending June 30, 2011, 1,581 inventions were disclosed by faculty and researchers at the 10 UC campuses; an increase of 1.0% over the number of inventions reported in FY10 (Exhibit 1). As shown in Exhibit 2, the number of disclosures relative to research expenditures has remained stable over time, currently at around 3.2 invention disclosures per $10 million in research expenditures. UC Irvine increased its new disclosures by 53 inventions (from 125 in FY10 to 178 in FY11). Other campuses with increases included UC Berkeley, with an increase of 29 inventions (from 142 in FY10 to 171 in FY11); UC Riverside, with an increase of 20 inventions (from 54 to 74); UC Santa Cruz, with an increase of 28 inventions (from 31 to 59); UC San Diego, with an increase of 21 inventions (from 367 to 388); and UC San Francisco, with an increase of 21 inventions (from 152 to 173). Exhibit 3 shows the campus distribution of newly reported inventions for FY11. 6 Innovation Alliances and Services

9 Exhibit 3: Invention Disclosures by Campus 1 Year Ending June 30, 2011 Exhibit 4: Total Active Inventions by Campus 1 As of June 30, 2011 UCB 1,277 UCSF 173 UCB 171 UCD 184 UCD 1,047 UCI 869 UCSD 388 UCI 178 UCLA 1,824 UCM 67 UCSC 59 UCSB 64 UCR 74 UCM 16 UCLA 299 UCR 349 UCSB 590 UCSC 194 UCSD 2,840 UCSF 1, Inventions having inventors from more than one campus are counted multiple times, once for each campus with an inventor. 1. Inventions associated with inventors from more than one campus are reported multiple times in this exhibit. During the 12-month period ending September 30, 2011, 154 inventions were disclosed by inventors at LBNL, an increase of 27 inventions from the 127 disclosed in FY10. As of June 30, 2011, the systemwide invention portfolio (excluding LBNL) was comprised of 10,341 active inventions. The total for each campus invention portfolio is indicated in Exhibit 4. Annual Report

10 Technology Transfer Activity and Financial Information Exhibit 5: Patent Activity 1 Year Ending June 30, 2011 Exhibit 6: U.S. Patents Issued 1 U.S. Applications Filed First Filings Provisional 686 First Filings Regular 15 Secondary Filings Provisional 137 Secondary Filings Regular 447 Total 1, Subtotal First Filings 701 Subtotal Secondary Filings 584 Subtotal Provisional Filings Subtotal Regular Filings First Foreign Filings U.S. Patents Issued FY07 FY08 FY09 FY10 FY11 Foreign Patents Issued Patent activity related to inventions managed by IAS and by the campus offices. See Exhibit 32 for LBNL s patent activity. 2. An invention is counted only one time in the First Foreign Filings category regardless of the number of countries in which foreign patent protection is sought. 1. U.S. patents issued related to inventions managed by IAS and by the campus offices. See Exhibit 32 for LBNL s U.S. patents issued. Patent Activity UC has received more U.S. patents than any other university in the world. A patent is a form of legal protection granted by the U.S. or a foreign government that gives a patent holder the right to exclude others from making, using, selling, offering for sale, or importing the patented invention for a defined period of time, generally 20 years from the date the patent application is first filed. Both U.S. and foreign patent rights often must be pursued for an invention in order to maximize the likelihood of successful commercialization. Acquiring adequate patent coverage for all aspects of a new technology may require more than one patent filing for a given invention. Often, a first filing in the U.S. takes the form of a provisional application, a type of filing which preserves U.S. patent rights and secures the benefits of an early filing date for a period of 12 months at a relatively low cost as compared to the cost of filing a regular application. A provisional filing is likely to be made during the time period when the invention is being marketed to potential licensees. Once a license agreement is in place, the licensee usually bears the cost of seeking and maintaining patent protection. Secondary filings frequently lead to the issuance of multiple patents related to a single invention. In addition to being needed for converting a provisional filing into a regular filing, secondary filings are often necessary in order to cover all aspects of the invention and to secure the broadest possible patent protection for it, and may include the filing of divisional applications and of continuation applications where new matter is added. Several years will elapse between a filing and the issuance of a patent by the patent office. 8 Innovation Alliances and Services

11 Exhibit 7: Total Active Patents 1 Exhibit 8: Total Active U.S. Patents by Campus 1 As of June 30, ,425 3,757 3,546 3,597 3,696 3,802 3,617 3,659 3,900 3,729 UCB 653 UCD UCI UCLA UCM UCR UCSB FY07 FY08 FY09 FY10 FY11 UCSC 85 U.S. Foreign UCSD 767 UCSF Total active patents at year-end related to inventions managed by IAS and by the campus offices. 1. Patents associated with inventors from more than one campus are reported multiple times in this exhibit. Exhibit 5 presents the patent activity at the 10 UC campuses for FY11. The number of U.S. first filings increased by 9.0% compared to 643 in FY10, while the number of secondary filings increased by 8.1% from 540 in FY10. Foreign patents issued increased by 10.3% from 330 in FY10. Exhibit 6 shows the number of U.S. patents issued in the past five years for campus inventions, with the number of U.S. patents issued increasing 15.5% (from 297 to 343) in FY11 as compared to FY10. for LBNL inventions, as compared to 27 U.S. patents issued for LBNL inventions in FY10. At the end of FY11, there were 3,900 active U.S. and 3,729 active foreign patents in the systemwide portfolio for its campus inventions (Exhibit 7). The number of U.S. patents in each campus portfolio is presented in Exhibit 8. UC Merced, which received its first invention disclosure in FY06, had patents issued for its inventions for the first time in FY11. LBNL s patent activity is shown in Exhibit 32. U.S. patent filings for the fiscal year ending September 30, 2011, increased by 5.0% over FY10, from 141 to 148. These included 66 first filings, all of which were provisional filings; and 82 secondary filings, of which two were provisional filings. A total of 36 U.S. patents were issued during the fiscal year ending September 30, 2011 Annual Report

12 Technology Transfer Activity and Financial Information Exhibit 9: Licensing Activity 1 Year Ending June 30, 2011 Exhibit 10: Utility Agreements Issued 1 Agreements Issued Letters of Intent 159 Options 38 Utility Licenses 217 Plant Licenses 37 Total Active Licenses (year-end) Utility Licenses 1,477 Plant Licenses % 6% 57% % 13% 45% % 8% 46% 12% 43% 42% % 9% 52% 0 FY07 FY08 FY09 FY10 FY11 Letters of Intent Options Utility Licenses 10-year running average of all Utility Agreements 2 1. Licensing activity related to inventions managed by IAS and by the campus offices. See Exhibit 32 for LBNL s licensing activity. 1. Utility licenses, options and letters of intent issued during the fiscal year related to inventions managed by IAS and by the campus offices. 2. Sum of utility licenses, options, and letters of intent issued during the fiscal year and the nine preceding fiscal years, divided by 10. Licensing and Related Activity A license agreement grants a licensee access to a University invention in exchange for the licensee s commitment to further develop and commercialize the invention and to assist UC in gaining patent protection for the invention, often in multiple countries. The provisions of a license define the rights and responsibilities of the two parties. In managing these license agreements, UC must collect monies when due and monitor progress to ensure that the licensees exercise due diligence in developing inventions toward commercial application. Utility licenses generally cover useful processes, machines, manufactured items, or compositions of matter protected by utility patents, and are often licensed exclusively. In a typical utility license agreement, UC grants to a licensee access to an early stage invention that is protected by a UC patent or patent application. In other instances, such licenses grant property rights to materials developed by UC. In exchange, the licensee makes a commitment to commercialize the invention and to pay UC agreed-upon fees, including reimbursement of patent expenses and royalty payments when products reach the marketplace. The specific terms of the agreement are determined through negotiations. In contrast, plant licenses cover sexually and asexually reproduced plant varieties, and most are licensed non-exclusively to multiple growers and distributors worldwide. UC works closely with some of its foreign plant licensees to explore opportunities for gaining intellectual property protection and commercializing selected strawberry and other plant cultivars in countries where such intellectual property rights had not been available previously. 10 Innovation Alliances and Services

13 Exhibit 11: Utility Agreements Issued Per $10 Million Research Expenditures FY07 FY08 FY09 FY10 FY11 1. The number of utility licenses, options and letters of intent issued during the fiscal year related to inventions managed by IAS and by the campus offices, divided by a five-year running average of the research expenditures data reported annually to the National Science Foundation/Division of Science Resources Statistics for its Survey of Research and Development Expenditures at Universities and Colleges. Five-year running averages are calculated as the sum of the expenditures for the fiscal year and the four preceding fiscal years, divided by five. For utility inventions, certain other shorter-term agreements are sometimes made prior to licensing. A secrecy agreement is used in conjunction with marketing and affords a potential licensee access to confidential information that assists the company in determining if it has an interest in pursuing a license for a given technology. In FY11, UC entered into 598 secrecy agreements for its campus inventions (LBNL entered into 94 secrecy agreements during its fiscal year). Exhibit 9 shows licensing activity for campus inventions in FY11. With regard to agreements, UC entered into 451 new licenses and related technology transfer agreements, including 217 utility licenses, 37 plant licenses, 38 options and 159 letters of intent. During its fiscal year, LBNL entered into five utility license agreements and 10 option agreements (Exhibit 32). A letter of intent is a type of agreement generally used to confirm a company s intent to negotiate a license and often commits a company to pay certain fees or patent costs while negotiations are underway. Option agreements, playing a similar role to letters of intent, offer a more detailed and formal commitment to protect a potential licensee s interest in an invention while the potential licensee performs in-depth technical or marketing research. Annual Report

14 Technology Transfer Activity and Financial Information Exhibit 12: Utility Licenses Issued 1 Exhibit 13: Total Active Utility Licenses % % ,315 1,359 1,336 1,371 1, % 40% 53% % 53% 60% 47% 47% FY07 FY08 FY09 FY10 FY11 0 FY07 FY08 FY09 FY10 FY11 Non-exclusive Utility Licenses Exclusive Utility Licenses 1. Utility licenses issued during the fiscal year related to inventions managed by IAS and by the campus offices. 1. Total active utility licenses at year-end related to inventions managed by IAS and by the campus offices. Overall, the number of utility agreements (utility licenses, options and letters of intent) issued reached a new all-time record, increasing from 339 in FY10 to 414 in FY11 (Exhibit 10). The number of utility agreements issued in recent years has remained above their 10-year running averages. The proportion of licenses among these utility agreements increased from 42% in FY10 to 52% in FY11, while the other categories of utility agreements declined. As shown in Exhibit 11, the number of utility agreements relative to research expenditures reversed a recent declining trend, increasing from 0.71 utility agreements per $10 million in research expenditures in FY10 to 0.83 in FY11. Exhibit 12 shows the five-year trend in the number of utility licenses issued, with the 217 utility licenses issued in FY11 representing a 52.8% increase over FY10. Of these 217 utility licenses, 102 were exclusive licenses and 115 were nonexclusive. The proportion of exclusive utility licenses among all utility licenses issued remained unchanged from its FY10 value of 53% in FY11. As of June 30, 2011, the systemwide portfolio (excluding LBNL) totaled 2,104 active licenses, an increase of 6.1% over the total at the close of FY10. The LBNL portfolio totaled 22 licenses as of September 30, Innovation Alliances and Services

15 Exhibit 14: Total Active Plant Licenses 1 Exhibit 15: Total Active Utility Licenses by Campus 1 Year Ending June 30, UCB 298 UCD 125 UCI 98 UCLA UCM UCR UCSB 52 0 FY07 FY08 FY09 FY10 FY11 UCSC 13 UCSD 300 UCSF Total plant licenses at year-end related to inventions managed by IAS and by the campus offices. 1. Licenses associated with inventors from more than one campus are reported multiple times in this exhibit. Exhibits 13 and 14 show the five-year trend in the total number of active utility and plant licenses for campus inventions. The total number of active utility licenses increased 7.7% to 1,477 at the close of FY11 as compared to the close of FY10. The total number of active plant licenses continued their upward trend, increasing 2.5% to 627 at the close of FY11 as compared to the close of FY10. Exhibit 15 shows the total number of active utility licenses associated with each campus. In regard to the distribution of plant licenses among the campuses, UC Davis had 469 active plant licenses at the close of FY11 and UC Riverside had 177. Annual Report

16 Technology Transfer Activity and Financial Information Exhibit 16: Inventions Newly Covered Under Agreements 1 Year Ending June 30, 2011 Exhibit 17: Total Inventions Covered Under Utility Agreements 1 Number of Inventions Covered Letters of Intent 258 Options 114 Utility Licenses 385 Plant Licenses ,234 2,431 2,591 2,648 2, FY07 FY08 FY09 FY10 FY11 1. Inventions managed by IAS and by the campus offices that were newly subject to a license, option or letter of intent during the fiscal year. 1. Total number of inventions managed by IAS and by the campus offices that are subject to one or more utility licenses, options or letters of intent as of the close of the fiscal year. Inventions associated with multiple utility agreements are counted only once in this exhibit. Although a new invention is typically the subject of a new agreement when there is commercial interest in it, various related inventions can be the subject of one agreement and new inventions can also be added to existing agreements. In particular, since UC inventors often make follow-on inventions that are closely related to their earlier work, it is common for existing utility licenses and options to be amended in order to incorporate these follow-on inventions. In FY11, new or amended utility licenses covered 385 campus inventions, while new or amended options covered 114 campus inventions (Exhibit 16). As shown in Exhibit 17, the total number of campus inventions covered under utility agreements (including licenses, options and letters of intent) at the close of the fiscal year was 2,552, a decrease of 3.6% from the close of FY10. Exhibit 18 shows the campus distribution of these covered inventions. 14 Innovation Alliances and Services

17 Exhibit 18: Total Inventions Covered Under Utility Agreements by Campus 1 As of June 30, 2011 UCB 341 UCD 212 UCI 233 UCLA 530 UCM 5 UCR 82 UCSB 241 UCSC 33 UCSD 439 UCSF Total number of inventions that are subject to one or more utility licenses, options or letters of intent as of the close of the fiscal year. Inventions associated with inventors from more than one campus are reported multiple times in this exhibit. Inventions associated with multiple utility agreements are counted only once in this exhibit. Annual Report

18 Technology Transfer Activity and Financial Information Startup Company Formation Exhibit 19: Startup Companies Formed 1 Exhibit 20: Startup Companies Formed by Campus 1 Year Ending June 30, UCB 5 UCD 5 UCI UCLA 19 UCM 1 20 UCR 5 UCSB 4 0 FY07 FY08 FY09 FY10 Startup companies formed 10-year running average of startup companies formed FY11 UCSC 1 UCSD 13 UCSF 3 1. Year of startup company formation based on the execution date of the first license, option or letter of intent granting rights to a UC invention managed by IAS or by a campus office. Prior to FY10, some campuses did not report company formation based on the execution of letters of intent. 1. Year of startup company formation based on the execution date of the first license, option or letter agreement. Startup companies formed with inventors from more than one campus are reported multiple times in this exhibit. A technology transfer agreement such as a license, an option or a letter of intent can be significant in spurring formation of new startup companies, with invention rights providing an asset that is highly attractive to venture capitalists and angel investors. In the case of startups involving UC technologies, inventors also frequently play a critical role in founding the company. Furthermore, several UC campuses have programs for facilitating new company formation. Since 1976, transfer of UC inventions has played a role in the founding of nearly 600 startup companies. Exhibit 19 shows recent startup company formation involving UC inventions, with 58 UC startup companies formed in FY11. Although this figure decreased 22.7% from the 75 UC startup companies formed in FY10, the 58 companies formed in FY11 remained well above the 10-year running average. Furthermore, the 10-year running average of UC startup companies formed continued to increase. Exhibit 20 shows FY11 startup company formation by campus, with UCLA accounting for nearly one-third of FY11 s activity. Startups based on UC technologies play an important role in California s economy, especially in biotechnology. A 2003 study of California s biotech firms found that UC scientists founded one-third of them and that one-fourth of all biotech firms in the U.S. are located within 35 miles of a UC campus.* The map on the next page shows the locations of UC campuses and of the 44 California-based UC startups that were formed in FY11. Of these 44 startup companies, 43 of them (97.7%) were located within 35 miles of a UC campus, and 41 of them (93.2%) were within 20 miles. * Yarkin, C., & Murray, A. (2003). Assessing the Role of the University of California in the State s Biotechnology Economy: Heightened Impact Over Time. UC Industry-University Cooperative Research Program Working Paper Series. 16 Innovation Alliances and Services

19 UC Startups In California FY2011 Davis S.F. / Sacramento / Santa Cruz Regions 15 Santa Barbara / L.A. Basin 19 San Diego Region 10 Berkeley San Francisco Merced Santa Cruz Santa Barbara Los Angeles Riverside Irvine UC Campus Startup San Diego

20 Technology Transfer Activity and Financial Information Technology Transfer Income Exhibit 21: Total Licensing Income 1 (Millions) $ $ $ $125.3 $ FY07 FY08 2 FY09 3 Prepayment of future royalty income 4 Patent/legal reimbursements Royalty and fee income FY10 FY This exhibit shows total licensing income for inventions managed by IAS and by the campus offices (see Exhibit 33 for LBNL s royalty and fee income). Total licensing income consists of two components: royalty and fee income, and patent/legal reimbursements. 2. The total licensing income reported for FY08 ($128.4 million) does not include up-front payments and reimbursements of $42.6 million from the settlement of litigation. 3. The total licensing income reported for FY09 ($121.4 million) does not include up-front payments and reimbursements of $4.6 million from the settlement of litigation. 4. Since the $87.5 million prepayment of future royalty income in FY11 is an extraordinary event, it is shown apart from other royalty and fee income as a separate component in this exhibit. Total Income from Licensing Total income from licensing for UC s campus inventions the income the University receives from its technology agreements with industry was $202.2 million in FY11 (Exhibit 21). This FY11 total licensing income represents a 61.4% increase over FY10 total licensing income; the FY11 total includes an $87.5 million prepayment of future royalty income for a UC Berkeley invention, Immune Activator for Treating Cancer. There are two components of total licensing income. The royalty and fee income component includes: agreement issue fees, maintenance fees and other milestone payments received on specific dates or at specific points in the product development process. These payments encourage companies to diligently pursue product commercialization. Generally, earned royalties account for the largest portion of royalty and fee income and are received once products and processes using UC inventions reach the marketplace. Because of the extraordinary nature of the prepayment of future royalty income for the Immune Activator for Treating Cancer invention in FY11, it is shown separately in yellow from other royalty and fee income in Exhibit 21. Reimbursements, the second component of total licensing income, represent the recovery of patent and legal expenses. 18 Innovation Alliances and Services

21 Exhibit 22: Total Licensing Income by Campus 1 Year Ending June 30, 2011 (Thousands) UCB 2 $95,319 UCD $11,120 UCI $7,354 UCLA $21,241 UCM $53 UCR $6,149 UCSB $5,348 UCSC $125 UCSD $18, Total licensing income consists of two components: royalty and fee income, and patent/legal reimbursements. 2. The total licensing income reported for UC Berkeley includes an $87.5 million prepayment of future royalty income. 3. Total licensing income, primarily from a portfolio of IAS-managed DOE Laboratory inventions, most disclosed prior to the establishment of the Laboratory-based licensing offices. UCSF $32,396 Other 3 $4,876 In the case of pharmaceutical and medical device inventions, successful commercialization requires completion of a lengthy multi-stage process for securing regulatory approval of a licensee s products from the U.S. Food and Drug Administration. Thus, the introduction of a new FDA-approved product into the marketplace is a significant event. In March of 2011, the Immune Activator for Treating Cancer invention achieved this status with the FDA s approval of Bristol-Myer Squibb s YERVOY for the treatment of late-stage metastatic melanoma.* This invention also ranked among the top earning UC inventions of FY11 as noted in the next section. Exhibit 22 shows the amount each campus contributed to FY11 total licensing income. Because of the large prepayment of future royalty income, UC Berkeley s contribution to total licensing income rose from $6.8 million in FY10 to $95.3 million in FY11. Other campuses with increases from FY10 to FY11 were UC Davis ($10.4 million to $11.1 million), UC Irvine ($5.3 million to $7.4 million), UC Riverside ($3.6 million to $6.1 million), UC Santa Barbara ($4.3 million to $5.3 million), and UC San Francisco ($29.1 million to $32.4 million). * YERVOY is a trademark of Bristol-Myers Squibb. Annual Report

22 Technology Transfer Activity and Financial Information Royalty and Fee Income Royalty and fee income for campus inventions in the fiscal year ending June 30, 2011, was $182.0 million, which was derived from 1,873 inventions. This income included an $87.5 million prepayment of future royalty income for the Immune Activator for Treating Cancer invention. As compared to FY10, royalty and fee income increased by $77.6 million. In FY11, $18,617 was realized from the sale of equity previously acquired under nine license agreements. Because of these transactions and the approval of 17 agreements in FY11 that included equity as partial consideration, at the end of the fiscal year UC held equity related to technology transfer activities in 122 companies. Royalty and fee income from the top five commercialized UC inventions (i.e., inventions that had reached the marketplace) contributed $123.2 million in FY11, accounting for 67.7% of total royalty and fee income (Exhibit 23). The top 25 inventions collectively accounted for $155.4 million or 85.3% of total royalties and fees. Inventions appearing on this list for the first time include Immune Activator for Treating Cancer from UC Berkeley, Barrier Repair Lipids from UC San Francisco, San Andreas Strawberry from UC Davis, and Diagnostics for Gastrointestinal Disorders from UCLA. For the fiscal year ending September 30, 2011, LBNL-managed inventions generated $2.3 million in royalty and fee income for licenses that are under the patent policy, an increase of 18.7% over the prior year. Copyright income for LBNL increased 95.1% from $689,000 to $1.34 million as compared with FY10 (Exhibit 33). Exhibit 23: UC Top-Earning Inventions 1 Year Ending June 30, 2011 (Thousands) Invention (Campus, Year Disclosed) Royalty & Fee Income Immune Activator for Treating Cancer (BK, 1996) $87,516 2 Hepatitis-B Vaccine (SF, 1979 & 1981) $13,020 Treatment of Intracranial Aneurysms (LA, 1989) $10,628 EGF Receptor Antibodies (SD, 1983) $7,058 Bovine Growth Hormone (SF, 1980) $5,000 Subtotal (Top 5 Inventions) $123,222 Chromosome Painting (LLNL, 1985, 1989 & 1995) $4,015 Barrier Repair Lipids (SF, 1991) $3,695 Firefly Luciferase (SD, 1984) $2,962 Camarosa Strawberry (DA, 1992) $2,360 Detection of Mycoplasma (IR, 1984) $2,351 Dynamic Skin Cooling Device (IR, 1993) $2,234 Albion Strawberry (DA, 2004) $2,136 Energy Transfer Primers (BK, 1994) $2,073 Tango Mandarin (RV, 2005) $1,851 Biodegradable Implant Coils (LA, 1998) $1,632 Optical Network Switch (DA, 1997) $1,193 Universal Oligonucleotide Spacer (BK, 1996) $777 San Andreas Strawberry (DA, 2008) $704 Ventana Strawberry (DA, 2001) $676 Vesicle Loading Method (LBNL, 1984) $660 Magnetic Resonance Imaging (SF, 1976) $618 Comparative Genomic Hybridization (SF, 1992) $564 Genomic Microarrays (SF, 1995) $564 Diagnostics for Gastrointestinal Disorders (LA, 1997, 99, 00 & 01) $563 Aids for Learning Disabled (SF, 1997 & 1999) $507 Subtotal (Top 25 Inventions) $155,357 Total (All Inventions) $182,050 % of Total from Top 5 Inventions 67.7% % of Total from Top 25 Inventions 85.3% 1. This list is limited to revenue-generating inventions that have been commercialized. The royalty and fee income shown here excludes patent/legal reimbursements. 2. This royalty and fee income includes an $87.5 million prepayment of future royalty income. 20 Innovation Alliances and Services

23 Exhibit 24: Payments to Joint Holders 1 (Millions) $8 $7.8 6 $6.1 $6.2 $5.6 $ FY07 2 FY08 FY09 FY10 FY11 1. Payments to joint-holders related to inventions managed by IAS and by the campus offices. 2. The payments to joint holders reported for FY07 ($4.3 million) do not include payments of $0.5 million for the settlement of litigation. Payments to Joint Holders When an invention results from collaboration between UC and non-uc researchers, multiple entities may become joint holders of the invention-related patents. In these instances, interinstitutional agreements are often negotiated to establish which entity will manage the patenting and licensing of the invention and the collection and distribution of invention income; such collaborations are relatively common. In FY11, 257 of 1,581 new campus disclosures (16.3%) included non-uc inventors and 76 new interinstitutional agreements were signed, an 11.8% increase over FY10. In FY11, $7.8 million was redistributed to other entities for campus inventions covered by interinstitutional and other income-sharing agreements. For financial reporting purposes, these monies are treated as an offset to income. As shown in Exhibit 24, these redistributions increased from FY10 to FY11 by $2.2 million. Income Associated with Patent/Legal Expenses Because inventions are highly technical, UC uses specialized outside attorneys to draft and secure patent protection both in the U.S. and abroad. Costs to secure, maintain and protect patent rights associated with an invention are substantial. Obtaining a licensee s commitment to reimburse these costs is a high priority objective of license negotiations, and reimbursements, therefore, are considered part of total licensing income. In FY11, UC received $20.1 million in patent/legal expense reimbursements related to campus inventions. This is a decrease of 3.4% from reimbursements received for such expenses in FY10. Annual Report

24 Technology Transfer Activity and Financial Information Technology Transfer Expenses Exhibit 25: Legal Expenses 1 (Millions) $40 $35.1 $32.8 $ $26.9 $ $ $8.7 $9.7 FY07 FY08 2 FY09 3 Gross legal and other direct expenses Net legal and other direct expenses $6.0 FY10 $8.3 FY Legal and other direct expenses related to inventions managed by IAS and by the campus offices. 2. The gross and net legal and other direct expenses reported for FY08 do not include $5.8 million in gross legal expenses and $5.2 million in net legal expenses for the settlement of litigation. 3. The gross and net legal and other direct expenses reported for FY09 do not include a credit of $0.9 million against gross legal expenses and do not include $1.2 million in net legal expenses for the settlement of litigation. 4. The gross and net legal and other direct expenses reported for FY11 do not include $1.3 million in gross and net legal and other direct expenses associated with an $87.5 million prepayment of future royalty income. Legal and Other Direct Expenses Gross legal and other direct expenses totaled $28.5 million in FY11 for campus inventions (Exhibit 25), excluding $1.3 million in extraordinary expenses associated with the prepayment of future royalty income for the Immune Activator for Treating Cancer invention. Most technology transfer legal expenses are associated with patent prosecution and maintenance, defined as payments to outside counsel for drafting patent applications as well as other costs for securing and maintaining patent protection for UC inventions. Other major categories of legal expenses include those for patent interference proceedings, enforcement of patent rights against infringement, and defense against litigation in civil proceedings. The extent of reimbursement of legal and other direct expenses is a negotiated term of a license agreement. In FY11, reimbursements of legal expenses for campus inventions totaled $20.1 million, resulting in net legal and other direct expenses of $8.3 million (Exhibit 25) when excluding extraordinary expenses for the Immune Activator for Treating Cancer invention. These reimbursements covered 70.8% of gross legal and other direct expenses when excluding extraordinary expenses for the Immune Activator for Treating Cancer invention. 22 Innovation Alliances and Services

25 Exhibit 26: Net Legal Expenses by Category 1 Year Ending June 30, 2011 Other 5.1% Interference & Infringement 1.9% Legal Defense 2.0% Expenses for Royalty Prepayment % Patent Prosecution & Maintenance 77.2% 1. Net legal and other direct expenses related to inventions managed by IAS and by the campus offices. 2. Net legal and other direct expenses associated with an $87.5 million prepayment of future royalty income. Exhibit 26 provides a breakdown of FY11 net legal and other direct expenses by different categories of expenditure, including the extraordinary expense. Patent prosecution and maintenance accounted for $7.4 million of net legal and other direct expenditures (77.2%), while the $1.3 million in expenses associated with the prepayment of future royalties accounted for a 13.8% share. Legal defense expenditures accounted for $0.2 million (2.0%), interference and infringement actions accounted for $0.2 million (1.9%), and other direct expenses accounted for $0.5 million (5.1%). As was the case in FY10, patent prosecution activities accounted for a relatively large percentage of net legal and other direct expenditures in FY11, reflecting the relatively greater reductions in expenditures that have occurred in other expenditure categories since FY07. It is anticipated that UC s licensing personnel will continue to be successful in negotiating reimbursement of a substantial amount of patent costs. Nonetheless, it is expected that there will continue to be significant legal and other direct expenses associated with patenting and litigation as the technology transfer program matures, patent activities continue to accelerate and relationships with inventors, sponsors and licensees become increasingly complex. Information on LBNL patenting and licensing expenses is not provided in this report. In-house patent expenses and operating expenses related to the licensing function are allowable costs under UC s current contract with DOE and are not readily separable from other LBNL expenses. Annual Report

26 Technology Transfer Activity and Financial Information Income Distributions Exhibit 27: Income Distributions 1 (Millions) 180 $ $89.4 $77.0 $ FY07 FY08 2 FY09 3 Income after mandatory distributions Inventor shares Research allocation share General fund share $ FY10 $ FY Income distributions related to inventions managed by IAS and by the campus offices. 2. The distributions reported for FY08 do not include a general fund distribution of $6.0 million, inventor share distributions of $12.9 million or income after mandatory distributions of $18.0 million related to the settlement of litigation. 3. The distributions reported for FY09 do not include a general fund distribution of $0.8 million, inventor share distributions of $2.3 million or income after mandatory distributions of $2.4 million related to the settlement of litigation. 4. The distributions reported for FY11 are shown without (left half-column) and with (right half-column) $86.2 million in distributions arising from an $87.5 million prepayment of future royalty income The income derived from royalties and fees, less the sum of payments to joint holders and less net legal and other direct expenses, is distributed in various shares as required under UC and campus policies. In FY11, income distributions related to campus inventions totaled $164.6 million, distributed as shown in Exhibit 27. A total of $86.2 million of these income distributions arose from the prepayment of future royalty income for the Immune Activator for Treating Cancer invention, with the balance of $78.4 million in income distributions coming from all other inventions. Inventor Shares UC Patent Policy grants inventors the right to receive a portion of net income accruing to individual inventions. In FY11, 2,153 inventors received a total of $54.1 million for IAS- and campusmanaged inventions, including $14.2 million for the Immune Activator for Treating Cancer invention and $39.9 million for all other inventions. Under current policy, inventors receive 35% of net invention income. Inventor shares are calculated based on invention income and expense activity through the close of the prior fiscal year. Thus, most of the inventor shares distributed in FY11 were calculated based on invention financial activity through June 30, Trends related to the amount of inventor share payments are reflected in Exhibit Innovation Alliances and Services

27 General Fund Share The portion of UC s technology transfer income allocated to the UC General Fund totaled $27.2 million in FY11 (Exhibit 27), including an allocation of $18.0 million from the Immune Activator for Treating Cancer s income and an allocation of $9.2 million from all other inventions. The General Fund share is equal to 25% of the amount remaining after deducting payments to joint holders, net expenses and inventor share payments from royalty and fee income. Research Allocation Share The 1997 Patent Policy requires that for inventions disclosed on or after October 1, 1997 by inventors subject to this policy, 15% of net royalty and fee income from each invention be designated for research-related purposes on the campus or Laboratory where the inventor worked at the time the invention was disclosed. The research allocation for campus-related inventions totaled $4.5 million in FY11 (Exhibit 27). Income after Mandatory Distributions All income derived from royalties and fees remaining after deductions for payments to joint holders, net legal and direct expenses, and other distributions, is available to the campuses subject to certain other campus-specific debits and credits for patent-related activities (not shown). This category combines expenditures that Annual Reports prior to FY07 showed separately as Operating Expense and Campus Share distributions. Income after mandatory distributions totaled $78.4 million in FY11 (Exhibit 27), including $54.0 million after mandatory distributions for the Immune Activator for Treating Cancer invention and $24.8 million after mandatory distributions for all other inventions. Annual Report

28 Technology Transfer Activity and Financial Information Exhibit 28: Systemwide Technology Transfer Activity FY07 FY11 1 Fiscal Years Ending June 30 Fiscal Year Comparisons FY07 FY08 FY09 FY10 FY11 % CHANGE (FY10-FY11) Inventions Inventions Disclosed 1,411 1,497 1,482 1,565 1, % Total Active Inventions (year-end) 8,272 8,953 9,343 9,883 10, % Patent Prosecution U.S. Applications Filed First Filings % Secondary Filings % Total 1,208 1,153 1,175 1,183 1, % U.S. Patents Issued % Total Active U.S. Patents (year-end) 3,425 3,546 3,617 3,802 3, % First Foreign Filings % Total Active Foreign Patents (year-end) 3,757 3,597 3,696 3,659 3, % Licensing Agreements Issued Letters of Intent % Options % Utility Licenses % Plant Licenses % Total Active Agreements (year-end) Options % Utility Licenses 1,315 1,359 1,336 1,371 1, % Plant Licenses % Inventions Covered Under Agreements Inventions Covered Under Letters of Intent % Inventions Optioned % Inventions Licensed (utility) % Inventions Licensed (plant) % Total Inventions Covered Under Agreements (year-end) Inventions Covered Under Letters of Intent % Inventions Optioned % Inventions Licensed (utility) 2 1,772 1,910 2,001 2,039 2, % Inventions Licensed (plant) % Startup Companies Startup Companies Formed % Exhibit 28 reports only technology transfer activity governed by the UC Patent Policy for inventions managed by IAS and by the campus offices. It does not include copyright and material transfer agreement activity that is also carried out by the campus offices. 1. Technology transfer activity related to a small number of DOE Laboratory inventions managed by IAS is also reflected in these figures. See Exhibit 32 for technology transfer activity related to inventions managed by LBNL s technology transfer office. 2. An invention may be covered by more than one type of utility agreement (utility license, option and letter of intent), so the sum of these figures for a fiscal year may exceed the values reported in Exhibit The number of startup companies formed in FY09 has been adjusted upwards in this exhibit from the 47 companies reported in the FY09 Annual Report to 49 to include two additional companies that were founded based on UCSF inventions. 26 Innovation Alliances and Services

29 Exhibit 29: Systemwide Financial Activity FY07 FY11 1 Fiscal Years Ending June 30 (Thousands) Fiscal Year Comparisons FY07 FY08 FY09 FY10 FY11 % CHANGE (FY10-FY11) Income from Royalties and Fees $97,594 $146,314 $103,105 $104,435 $182, % Less: Payment to Joint Holders (4,798) (6,114) (6,217) (5,641) (7,827) 38.8% Adjusted Gross Income (A) 92, ,200 96,888 98, , % Legal and Other Direct Expenses (35,087) (38,602) (31,486) (26,866) (29,784) 10.9% Less: Reimbursements 19,292 24,668 22,946 20,825 20, % Net Legal Expenses (B) (15,795) (13,934) (8,540) (6,040) (9,642) 59.6% Income Available for Distribution (A+B) 77, ,226 88,347 92, , % Income Distributions Inventor Shares (C) 35,562 48,087 41,106 38,876 54, % Research Allocation Share (D) 1,380 2,475 3,160 2,984 4, % General Fund Share (E) 10,045 19,545 11, ,087 27, % Income after Mandatory Distributions (F) 30,014 56,160 32, ,806 78, % Total Income Distributions (C+D+E+F) 77, ,226 88, , , % Exhibit 29 only reports financial activity (not adjusted for legal settlements) governed by the UC Patent Policy for inventions managed by IAS and by the campus offices. Campus offices also generate income through copyright licenses, material transfer agreements and through research support committed in conjunction with technology transfer activities. This income is not included in this report. 1. Financial activity related to a small number of DOE Laboratory inventions managed by IAS is also reflected in these figures. See Exhibit 33 for financial activity related to inventions managed by LBNL s technology transfer office. 2. These figures have been corrected from those reported in the FY09 Annual Report. Annual Report

30 Technology Transfer Activity and Financial Information Exhibit 30: FY11 Campus Technology Transfer Activity 1 Year Ending June 30, 2011 UCB UCD uci ucla ucm ucr ucsb ucsc ucsd ucsf Inventions Inventions Disclosed Total Active Inventions (year-end) 1,277 1, , ,840 1,475 Patent Prosecution U.S. Applications Filed First Filings Secondary Filings Total U.S. Patents Issued Total Active U.S. Patents (year-end) First Foreign Filings Total Active Foreign Patents (year-end) Licensing Agreements Issued Letters of Intent Options Utility Licenses Plant Licenses Total Active Agreements (year-end) Options Utility Licenses Plant Licenses Inventions Covered Under Agreements Inventions Covered Under Letters of Intent Inventions Optioned Inventions Licensed (utility) Inventions Licensed (plant) Total Inventions Covered Under Agreements (year-end) Inventions Covered Under Letters of Intent Inventions Optioned Inventions Licensed (utility) Inventions Licensed (plant) Startup Companies Startup Companies Formed Exhibit 30 only reports technology transfer activity governed by the UC Patent Policy for inventions managed by IAS and by the campus offices. It does not include copyright and material transfer agreement activity that is also carried out by the campus offices. 1. Technology transfer activity related to inventions having one or more inventors at each campus. A number of inventions involve inventors from multiple UC campuses. Technology transfer activity statistics for these inventions are reported multiple times, once for each campus involved. Thus, for any given measure of activity, the sum of individual campus numbers may be greater than the systemwide totals reported elsewhere in this report. 2. An invention may be covered by more than one type of utility agreement (utility license, option and letter of intent), so the sum of these figures for a campus may exceed the values reported in Exhibit Innovation Alliances and Services

31 Exhibit 31: FY11 Campus Financial Activity 1 Year Ending June 30, 2011 (Thousands) UCB UCD uci ucla ucm ucr ucsb ucsc ucsd ucsf Income from Royalties and Fees $92,823 $10,233 $6,033 $16,153 $26 $5,441 $2,618 $82 $14,048 $29,887 Less: Payment to Joint Holders (81) (2) (36) (2,556) 0 (4) (161) (41) (321) (4,624) Adjusted Gross Income (A) 92,741 10,231 5,997 13, ,437 2, ,727 25,263 Legal and Other Direct Expenses (5,010) (2,484) (2,144) (6,298) (497) (837) (2,763) (259) (5,036) (4,196) Less: Reimbursements 2, ,321 5, , ,164 2,509 Net Legal Expenses (B) (2,513) (1,596) (823) (1,211) (469) (129) (33) (216) (873) (1,687) Income Available for Distribution (A+B) 90,228 8,634 5,174 12,387 (443) 5,308 2,423 (176) 12,854 23,575 Income Distributions Inventor Shares (C) 15,487 3,435 1,450 10, , ,782 8,682 Research Allocation Share (D) , , General Fund Share (E) 18,685 1, (113) (56) 1,018 3,723 Income after Mandatory Distributions (F) 55,981 3,559 2,713 (253) (345) 2,375 1,137 (186) 1,098 10,979 Total Income Distributions (C+D+E+F) 90,228 8,634 5,174 12,387 (443) 5,308 2,423 (176) 12,854 23,575 Exhibit 31 only reports financial activity (not adjusted for legal settlements) governed by the UC Patent Policy for inventions managed by IAS and by the campus offices. Campus offices also generate income through copyright licenses, material transfer agreements and through research support committed in conjunction with technology transfer activities. This income is not included in this report. 1. Financial activity related to inventions having one or more inventors at each campus. A number of inventions involve inventors from multiple UC campuses. Financial activity statistics for these inventions are pro-rated among the campuses according to the number of inventors each campus has. Since some financial activity reported here is credited to UC inventors who are not associated with a campus (including staff at the DOE Laboratories), the sum of individual campus numbers may not equal the systemwide totals reported elsewhere in this report. Annual Report

32 Technology Transfer Activity and Financial Information Exhibit 32: LBNL Technology Transfer Activity FY07 FY11 Fiscal Years Ending Sept. 30 Fiscal Year Comparisons FY07 FY08 FY09 FY10 FY11 % CHANGE (FY10-FY11) Inventions and Patent Prosecution Inventions Disclosed % U.S. Applications Filed First Filings Provisional % First Filings Regular % Secondary Filings Provisional % Secondary Filings Regular % Total % U.S. Patents Issued % First Foreign Filings % Licensing Agreements Issued Secrecy % Option % License % Total Active Agreements (year-end) Option % License % 30 Innovation Alliances and Services

33 Exhibit 33: LBNL Financial Activity FY07 FY11 1 Fiscal Years Ending Sept. 30 (Thousands) Fiscal Year Comparisons FY07 FY08 FY09 FY10 FY11 % CHANGE (FY10-FY11) Income from Royalties and Fees Patents and Tangible Research Products $2,502 $2,702 $2,700 $1,918 $2, % Copyrights/Software , % Total 3,218 3,214 3,551 2,607 3, % Inventor/Author Shares Paid Patents and Tangible Research Products 796 N.A. 2 1,021 1, % Copyright/Software, Trademark and Other 169 N.A % Total 965 N.A. 2 1,115 1, % 1. In addition to income reported in this table, the IAS-managed portfolio of DOE Laboratory inventions collectively generated $4,706,186 in FY11 royalty and fee income, including $691,244 for LBNL inventions. 2. Starting in FY08, payment of Inventor/Author Shares is deferred until the following year to match the campus inventor share payment schedule. Annual Report

34 UC Technology Transfer on the Web Available Technologies University of California Technology Transfer Available Technologies techtransfer.universityofcalifornia.edu Technology Transfer Offices UC Office of the President: Innovation Alliances and Services (IAS) UC Berkeley: Office of Intellectual Property & Industry Research Alliances (IPIRA) ucop.edu/research/ias ipira.berkeley.edu UC Davis: UC Davis InnovationAccess research.ucdavis.edu/u/s/ia UC Irvine: Office of Technology Alliances (OTA) UC Los Angeles: Office of Intellectual Property & Industry Sponsored Research (OIP-ISR) UC Merced: Office of Technology Transfer (OTT) UC Riverside: Office of Technology Commercialization (OTC) UC Santa Barbara: Office of Technology & Industry Alliances (TIA) oip.ucla.edu ott.ucmerced.edu ora.ucr.edu/otc.aspx tia.ucsb.edu UC Santa Cruz: Office for Management of Intellectual Property (OMIP) research.ucsc.edu/intel_prop.shtml UC San Diego: Technology Transfer Office (TTO) UC San Francisco: Office of Technology Management (OTM) Lawrence Berkeley National Laboratory: Technology Transfer and Intellectual Property Management (TTIPM) invent.ucsd.edu otm.ucsf.edu lbl.gov/tech-transfer 32

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36 Berkeley Davis Irvine Los Angeles Merced Riverside San Diego San Francisco Santa Barbara Santa Cruz Lawrence Berkeley University of California Innovation Alliances and Services 1111 Franklin Street, 5th Floor Oakland, CA