University Patent Transaction Trends for 2013

Transcription

1 University Patent Transaction Trends for University Patent Transaction Trends for 2013 February, 2014

2 University Patent Transaction Trends for Contents Contents Executive Summary... 3 Approach and Methodology... 4 Assignment Transfers from Universities/Research Entities to U.S. Government Agencies... 5 Assignment Transfers from Universities/Research Entities to Corporate Entities Findings About Relecura Disclaimer... 28

3 University Patent Transaction Trends for Executive Summary As one of the primary sources of innovations, universities play a crucial role in the process of technology transfer and commercialization of Intellectual Property (IP) arising from research activities. Consequently, universities have become an important segment in the IP commercialization market. Today, IP commercialization is diligently pursued by most universities. The Office of Technology Transfer (OTT) or a similar entity is responsible for IP management in a University. While research activities are strongly encouraged across the campus, IP generation, protection, and marketing efforts are also significantly increased and emphasized upon, after the Bayh-Dole Act was enacted in To underline the importance of patent transactions emanating from academia and research, this report tracks the patent assignment transfers arising from transactions by universities in The report aims to determine specific trends, technologies, and patterns. Patents from the universities emerge either from funded research by government agencies and foundations, or research collaborations with corporate entities. This report separates the patents into these two categories. (The commercial entities could be startups, spin-offs, venture capital firms (indirectly) or major corporations). Consequently, a comparison is also made between the 2013 transactions to those of the previous year.

4 University Patent Transaction Trends for Approach and Methodology We have used Relecura to search and analyze all of the university assignment records for the year 2013 to obtain various trends and insights. The following considerations apply to the analysis presented in this report: The analysis is restricted to US patent applications where assignment transfer records are available at the USPTO. We have used information available in the public domain. This includes assignment transfers recorded at the USPTO and other information published online. Unless otherwise specified, the counts shown indicate the number of assignment transfers recorded, also referred to as transactions. The raw assignment data of 2013 transactions was cleaned up within Relecura, to get a relatively clean set of assignment transfers. For the clean-up of raw data of recorded assignment transfers, the following points should be noted: Confirmatory License conveyance was used to retrieve transactions pertaining to government funded research. The feature called Browse was used to remove the unrelated results. Search strategy for transactions from universities to corporate entities involved keyword search and refine. The following information and charts have been provided for transactions between universities and government agencies as well as universities and corporate entities: Top 50 universities/research entities to assign patents Top 10 U.S. government agencies and corporate entities respectively Assignment transfer comparisons between 2012 and 2013 Top technologies transacted in 2013 based on the IPC classification codes Topic Maps for concepts based on transacted patents Patent filing trends Transactions of top cited patents

5 University Patent Transaction Trends for Assignment Transfers from Universities/Research Entities to U.S. Government Agencies Assignment transfers in this category are retrieved using the Assignment Search feature of Relecura (the execution year is specified as 2013). These assignment transfers are typically tagged with the conveyance text of a Confirmatory License. The assignment records are cleaned up to remove the transactions from commercial entities to government agencies. The emerging result is 2447 assignment transfers (2333 publications) pertaining to transactions from universities or research entities to the government agencies. Table 1. Top universities/research entities that assigned patents to U.S. government agencies in Assignor Transaction Count Assignor Transaction Count California Univ. 230 Lawrence Livermore National Security 166 Rochester Univ. 100 MIT 89 Michigan Univ. 81 Stanford Univ. 80 California Inst Of Tech 76 Wisconsin Univ. Madison 60 UT Battelle LLC 58 Central Florida Univ. 53 New York Univ. 52 Washington Univ. 52 Iowa Univ. 48 North Carolina Univ. 46 Emory Univ. 44 Purdue Univ. 41 Pittsburgh Univ. 40 Arizona Univ. 39 Massachusetts Univ. 39 Baylor Research Inst 37 Colorado State Univ. 37 Harvard Univ. 37 Minnesota Univ. 33 Pennsylvania Univ. 33 Northwestern Univ. 30 Maryland Univ. 28 New Brunswick State Univ. 28 Battelle Memorial 27 South Florida Univ. 27 Children s Hospital Medical Center (Cincinnati) Drexel Univ. 23 Mayo Foundation 23 Florida Univ. 22 Sloan-Kettering Inst For Cancer Res 22 The Scripps Res Inst 22 Johns Hopkins Univ. 20 Rice Univ. 20 Pennsylvania State Univ. 19 Texas Univ. 19 Illinois Univ. 18 Georgia Tech Res Corp 17 Massachusetts Gen Hospital 17 Nebraska Lincoln Univ. 17 Yale Univ. 17 Northeastern Univ. 16 Virginia Univ. 16 Cornell Univ. 15 Princeton Univ. 15 Ohio State Univ. 13 Brigham & Women s Hospital 12 25

6 University Patent Transaction Trends for Table 1 provides the list of top fifty universities and research entities that have assigned their patents to various U.S. government agencies. The top universities or research labs in this category include the California University System, Lawrence Livermore National Security, Rochester University, and Massachusetts Institute of Technology (MIT). Table 2. Top 10 U.S. government agencies that acquired patents from universities/research entities in 2013 Assignee Count NIH 1727 US Energy 376 NSF 223 US Army 60 US Navy 29 NASA 27 AFRL 4 US Air Force 2 US Defense 2 DARPA 1 Figure 1 provides a quarter-wise breakup of transactions emerging from universities/research entities to the U.S. government agencies. A large portion of transactions in the first quarter are because of California University, Lawrence Livermore National Security, and MIT. In addition, Rochester University was responsible for transferring a large number of assignments in the second quarter. Figure 2 details the transactions of top universities and research entities in each quarter. Quarter 4, 255 Quarter 3, 542 Quarter 1, 705 Quarter 2, 949 Figure 1. Break-up of the total assignment transfers on a QoQ basis from universities/research entities to U.S. government agencies for 2013

7 University Patent Transaction Trends for No of Transactions CALIFORNIA UNIV LAWRENCE LIVERMORE NAT ROCHESTER UNIV MIT MICHIGAN UNIV STANFORD UNIV CALIFORNIA INST OF TECH WISCONSIN UNIV UT BATELLE LLC CENTRAL FLORIDA UNIV NEW YORK UNIV WASHINGTON UNIV IOWA UNIV NORTH CAROLINA UNIV EMORY UNIV PURDUE UNIV PITTSBURGH UNIV ARIZONA UNIV MASSACHUSETTS UNIV BAYLORE RESEARCH INST No of Transactions Assignee BAYLORE RESEARCH INST MASSACHUSETTS UNIV ARIZONA UNIV PITTSBURGH UNIV PURDUE UNIV EMORY UNIV NORTH CAROLINA UNIV IOWA UNIV WASHINGTON UNIV NEW YORK UNIV CENTRAL FLORIDA UNIV UT BATELLE LLC WISCONSIN UNIV CALIFORNIA INST OF TECH 20 STANFORD UNIV MICHIGAN UNIV MIT ROCHESTER UNIV 129 LAWRENCE LIVERMORE NAT SECURITY CALIFORNIA UNIV Quarter 1 Quarter 2 Quarter 3 Quarter 4 Assignor Quarter Figure 2. QoQ assignment transfers by the top universities/research entities to U.S. government agencies. Figure 3 displays the matrix of assignors and assignees for contract research related assignment transfers to government agencies. While the NIH has funded research across many of the top universities and research entities, the US Department of Energy has acquired a significant number of patents from Lawrence Livermore National Security and UT Battelle (a collaboration between the University of Tennessee and Battelle Memorial Institute). NASA, on the other hand, has primarily been the beneficiary of patent transfers from the University of California System and the University of Arizona US DEFENSE 2 US AIR FORCE 25 2 NASA US ARMY NSF US ENERGY NIH Assignor Figure 3. Top university and contract research related assignment transfers to government agencies for 2013

8 University Patent Transaction Trends for For the purpose of comparison, Figure 4 displays a similar matrix for US AIRFORCE US ARMY No of Transactions Figure 4. Top university and contract research related assignment transfers to government agencies for 2012 Table 3 displays a comparison of the top universities and research entities that transferred patents to government agencies in 2012 and Some of the highlights are: MIT dropped to fourth rank from the first, over MIT 25 CALIFORNIA UNIV LELAND STANFORD UNIV SLOAN-KETTERING INSTITUTE FOR CANCER RES COLUMBIA UNIV HARVARD UNIV RICE UNIV PENNSYLVANIA UNIV MICHIGAN UNIV Assignor WAYNE STATE UNIV UT BATTELLE LLC LOS ALAMOS NAT SECURITY WISCONSIN ALUMNI Lawrence Livermore National Security improved their ranking from fifteenth to a commendable second. While California University, Rochester University, and Michigan University improved their ranks, Stanford dropped by three ranks. COLORADO UNIV 2 6 L LIVERMORE NAT SECURITY LLC 68 NORTHWESTERN UNIV 6 WASHINGTON UNIV NIH NSF US ENERGY Assignee

9 University Patent Transaction Trends for Table 3. Top universities involved in assignment transfers to government agencies during 2012 and 2013 Top Universities In 2012 Rank Top Universities In 2013 MIT 1 California Univ. California Univ. 2 Lawrence Livermore National Security Stanford Univ. 3 Rochester Univ. Sloan-Kettering Institute For Cancer Res 4 MIT Columbia Univ. 5 Michigan Univ. Harvard Univ. 6 Stanford Univ. Rice Univ. 7 California Inst Of Tech Pennsylvania Univ. 8 Wisconsin Univ. Madison Michigan Univ. 9 UT Battelle LLC Wayne State Univ. 10 Central Florida Univ. UT Battelle LLC 11 New York Univ. Los Alamos Nat Security 12 Washington Univ. Wisconsin Alumni 13 Iowa Univ. Colorado Univ. 14 North Carolina Univ. Lawrence Livermore National Security 15 Emory Univ. Figure 5 displays the top technologies transacted between universities/research entities and U.S. government agencies. The chart indicates that a large number of transactions are related to technologies associated with compositions of medical preparations and biology (such as gene therapy, tissue culturing, and medical diagnostics). Figure 5. Top technologies transacted in 2013 based on the IPC group per the number of transactions. A description of each IPC group is tabulated below.

10 University Patent Transaction Trends for Class Code A61K 31/00 A61K 38/00 G01N 33/00 C12Q 1/00 C12N 5/00 Description Medicinal preparations containing organic active ingredients Medicinal preparations containing peptides Investigating or analyzing materials by specific methods not covered by groups Processes of preparing such compositions of enzymes and microorganisms for Measuring or testing Tissue culture Table 4. Description of IPC group Class Code C07H 21/00 A61P 31/00 A61K 9/00 A61K 35/00 A61B 5/00 Nucleic acids Description Antiinfectives, i.e. antibiotics, antiseptics, chemotherapeutics Medicinal preparations characterized by special physical form Medicinal preparations containing material or reaction products thereof with undetermined constitution Medical Diagnostics A61K 39/00 C12N 15/00 C07K 14/00 Medicinal preparations containing antigens or antibodies Mutation or genetic engineering Peptides having more than 20 amino acids; Gastrins; Somatostatins; Melanotropins; Derivatives thereof A61K 45/00 A61P 25/00 A61P 37/00 Medicinal preparations containing active ingredients not provided for in groups Drugs for disorders of the nervous system Drugs for immunological or allergic disorders A61P 35/00 C07K 16/00 Antineoplastic agents Immunoglobulins, e.g. monoclonal or polyclonal antibodies C12N 9/00 A61K 48/00 Enzymes for culturing Gene therapy related medicinal preparations Figure 6 displays the distribution of patents by assignor in the top technologies, using the higher level IPC subclass. This shows that the University of California System is very active in researching medicinal preparations and compositions. However, only a few of the top universities are active in transactions of semiconductor related patents. Note: This does not indicate the lack of research in semiconductor technologies, but an indication that this technology was less involved in the transactions to government agencies.

11 CALIFORNIA UNIV ROCHESTER UNIV MICHIGAN UNIV MIT BAYLORE RESEARCH INST STANFORD UNIV NEW YORK UNIV WASHINGTON UNIV MASSACHUSETT S UNIV CENTRAL FLORIDA UNIV WISCONSIN UNIV LAWRENCE LIVERMORE NAT SECURITY CALIFORNIA INST OF TECH No of Transactions IPC Code University Patent Transaction Trends for C40B H01L G06F C12P C07H A61B C07D C12Q A61P C07K G01N C12N A61K Assignor Figure 6. Top technologies vs. Assignor transacted in 2013 based on the IPC subclass per number of transactions Table 5. Description of the IPC subclasses IPC Subclass A61K Description Medicinal preparations compositions IPC Subclass A61B Description Diagnosis & surgery identification C12N Microorganisms or enzymes C07H Sugars G01N Testing materials C12P Fermentation C07K Peptides G06F Digital data processing A61P C12Q Medicinal preparations based on disease Measuring/testing involving enzymes or micro-organisms H01L C40B C07D Electric elements - semiconductor devices Chemical libraries Heterocyclic compounds Table 6 provides a detailed view of the assignment transfers for the top five universities and research entities.

12 University Patent Transaction Trends for Table 6. University, government agency, and technology focus of patents transacted in 2013 Top Assignor and (count) Top Assignee and (counts) California Univ. (230) NIH (178) US ENERGY (37) NSF (11) US ARMY (4) Lawrence Livermore Nat Security (166) US ENERGY (166) Technology Medicinal preparations Biological assays Genetic engineering and culture media Peptides and derivatives Electrotherapy Material testing and analysis using optics Semiconductor devices Rochester Univ. (100) NIH(100) Medicinal preparations Genetic engineering and culture media Material testing and analysis Biological assays Peptides and its derivatives MIT (89) NIH (66) NSF (10) US AIR FORCE (2) US ARMY (2) US DEFENSE (1) US ENERGY (8) Michigan Univ. (81) NIH(66) NSF (11) US ARMY (3) US ENERGY(1) Medicinal preparations Compounds containing two or more mononucleotide units having separate phosphate or polyphosphate groups. Genetic engineering and culture media Material testing and analysis Measuring or testing processes involving enzymes or microorganisms. Medicinal preparations Material testing and analysis using optics Genetic engineering and culture media Diagnostics devices Figure 7 displays a Relecura Topic Map that visualizes the top concepts of transacted documents from universities/research entities to various U.S. government agencies. Many of the concepts comprising the Topic Map pertain to chemical compositions for preparing medicines, as well as medical imaging. Technologies related to semiconductor devices also form a small part of the map.

13 University Patent Transaction Trends for Figure 7. Topic Map for the concepts based on patents transacted between university/research entities and U.S. government agencies To get a sense of the age of transacted patents, the filing year distribution of these documents is plotted in Figure 8. There are a total of 2,333 documents (1,926 applications) that were transacted in The figure indicates that a majority of these applications were filed in the recent years, and a few of them were filed in the late 1990s and early 2000s.

14 No of Documents Assignor University Patent Transaction Trends for Figure 8. Patent filing trends based on the patents transacted between university/research entities and U.S. government agencies BAYLORE RESEARCH INST MASSACHUSETTS UNIV PURDUE UNIV PITTSBURGH UNIV EMORY UNIV IOWA UNIV CENTRAL FLORIDA UNIV NORTH CAROLINA UNIV NEW YORK UNIV WASHINGTON UNIV UT BATELLE LLC WISCONSIN UNIV CALIFORNIA INST OF TECH STANFORD UNIV MICHIGAN UNIV MIT ROCHESTER UNIV LAWRENCE LIVERMORE NAT CALIFORNIA UNIV Filing Year Figure 9. Assignor vs. Filing Year for the patents transacted between university/research entities and U.S. government agencies Table 7 displays the top cited patents, and the university/research entities and U.S. government agencies involved in those transactions. In this chart, NIH emerged as the top government agency with 38 assignment transfers, whereas both US Army and US Navy secured a single assignment each from Duke University and Lockheed Martin respectively. (Note: These figures refer to the top most cited patents and not all patents)

15 University Patent Transaction Trends for Table 7. University/research entities vs. U.S. government agencies for top cited patents (top 50 in terms of number of forward citations) transacted in 2013 Assignors/Assignees NIH NSF US Army US Energy US Navy Rochester Univ. 12 California Univ. 6 Lawrence Livermore Nat Security California Inst Of Tech 3 Duke Univ. 2 1 MIT 3 Drexel Univ. 2 Michigan Univ. 2 Rice Univ. 2 Battelle Memorial 1 Brown Univ. 1 Central Florida Univ. 1 Charles S Draper Lab 1 Hawaii Univ. 1 Iowa Univ. 1 Lockheed Martin 1 Louisville Univ. 1 Mayo Foundation 1 Northeastern Univ. 1 Princeton Univ. 1 Washington Univ. 1 Wisconsin Univ. 1 4

16 University Patent Transaction Trends for Assignment Transfers from Universities/Research Entities to Corporate Entities The total number of assignment transfers from universities/research entities to corporate entities are 1,377 transactions (1,335 documents). Table 8 lists the top fifty universities that assigned their patents to corporate entities in The California University System, Stanford Research Institute, University of Arizona, and Tsinghua University in Taiwan came out on top of this list. Table 8. Top 50 universities that transferred patents to corporate entities in 2013 Assignor Location Count Assignor Location Count California Univ. US 115 Stanford Res Institute US 56 Arizona Univ. US 37 Tsinghua Univ. Taiwan 36 Tokyo Institute of Tech Japan 33 Washington Univ. US 31 British Columbia Univ. Canada 24 Korea Univ. Korea 24 Utah State Univ. US 24 Korea Inst of Science And Tech Korea 22 Nebraska Univ. US 22 South Carolina Univ. US 22 Johns Hopkins Univ. US 20 Kyoto Univ. Japan 20 National Taiwan Univ. Taiwan 20 Hong Kong Applied Science & Tech Res Institute Hong Kong Kaist Korea 17 National Chiao Tung University Taiwan 17 Oak Ridge Associated Univ. US 17 Korea Institute Of Machinery And Materials 17 Korea 16 Yonsei Univ. Korea 16 Florida Atlantic Univ. US 15 Howard Hughes Medical Inst US 15 Inst for Molecular Medicine US 14 Kyushu Institute of Tech Japan 14 Korea Polytechnic Univ. Korea 12 Sungkyunkwan Univ. Korea 12 Cardiff Univ. UK 10 Hong Kong Univ. Hong Kong 10 Northwestern Univ. US 10 Oregon Univ. US 10 Osaka Univ. Japan 10 Southern California Univ. US 10 Boston Biomed Res Institute US 9 Duchenne Muscular Dystrophy Univ. Japan 9 Kingston Univ. Canada 9 Maryland Univ. US 9 Arkansas Univ. US 8 Bruxelles Univ. Belgium 8 ITRI Taiwan 8 Kawamura Institute of Chemical Research Japan 8 Tokyo Univ. Japan 8 Vienna Medical Univ. Austria 8 Florida Univ. US 7 Hiroshima Univ. Japan 7 New Renaissance Institute US 7 Central Florida Univ. US 6 Cincinnati Univ. US 6 New Orleans Univ. US 6 North Carolina Univ. US 6

17 University Patent Transaction Trends for Table 9 displays the top 50 corporate entities that acquired patents from universities/research entities in Lawrence Livermore National Security, Intellectual Discovery, Digital Imaging Systems, and Canon are the top ones on the list. Such transactions can also be visualized on a quarterly basis, as shown in Figure 10. In addition, Figure 11 outlines the quarterly transaction by top universities/research entities to corporate entities. Table 9. Corporate entities that acquired patents from the universities in 2013 Assignee Lawrence Livermore National Security Count 112 Intellectual Discovery Inc 84 Digital Imaging Systems GMBH 39 Canon 32 IP Reservoir LLC 31 Livewire Test Labs Inc 24 Clearink Displays LLC 23 E-Ray Optoelectronics Tech Co Ltd 20 Life Technologies 20 Nutech Ventures Inc 19 Apollo Endosurgery Inc 18 MUSC Foundation for Res Dev 18 Transpacific IP Ii Ltd 18 TCL Corp 17 UT Battelle LLC 17 Kaituozhe Intellectual Property Management Consultants Ltd 15 Atwater Ventures Ltd 14 CHS Pharma Inc 14 Samsung 12 SFC Co Ltd 12 Sunam Co Ltd 12 Cascade Prodrug Inc 10 Myriad Genetics Inc 10 Pacific Wave Industries Inc 10 Thermolife International LLC 10 Assignee Count Graphene Square Inc 9 Luoxis Diagnostics Inc 9 Nippon 9 Orphan Disease Treatment Institute Co Ltd South Florida University 9 CSSP Inc 8 DIC Corp 8 LSIP LLC 8 Siemens 8 AU Optronics 7 ABT Systems LLC 6 Cristal Delivery BV 6 Materia Inc 6 Nanomech Inc 6 North Carolina University United Arab Emirates University Versitech Ltd 6 AIST 5 Ampio Pharmaceuticals Inc 5 Cambridge Cmos Sensors Ltd 5 Minmaxmedical 5 Nanook Innovation Corp 5 National Cheng Kung Univ. 5 Philips 5 Selene Communication Technologies LLC 5 Sparq Systems Inc 5 9 6

18 Quarter 1 Quarter 2 Quarter 3 Quarter 4 No of Transactions Assignor University Patent Transaction Trends for Quarter 4, 228 Quarter 3, 448 Quarter 1, 325 Quarter 2, 377 Figure 10. Break-up of assignment transfers on a QoQ basis from universities/research entities to corporate entities for JOHNS HOPKINS UNIV KYOTO UNIV NEBRASKA UNIV KOREA INST OF SCIENCE AND TECH SOUTH CAROLINA UNIV 24 BRITISH COLUMBIA UNIV UTAH STATE UNIV 31 KOREA UNIV 30 WASHINGTON UNIV TOKYO INST OF TECH TSINGHUA UNIV ARIZONA UNIV STANFORD RES INST CALIFORNIA UNIV 0 Quarter Figure 11. QoQ assignment transfers by the top universities/research entities to corporate entities Table 10 displays the geographical locations of the top universities/research entities that have assigned their patents to corporate entities. One can see that other than U.S-based universities, those in Japan, Korea, and Taiwan are also very active in transferring their U.S. patents to corporate entities.

19 CALIFORNIA UNIV STANFORD RES INST ARIZONA UNIV TSINGHUA UNIV TOKYO INST OF TECH WASHINGTON UNIV KOREA UNIV UTAH STATE UNIV BRITISH COLUMBIA UNIV SOUTH CAROLINA UNIV KOREA INST OF SCIENCE AND TECH NEBRASKA UNIV KYOTO UNIV JOHNS HOPKINS UNIV No of Transactions Assignee University Patent Transaction Trends for Table 10. Location of the universities or research entities involved in the transfer of the patents to corporate entities in 2013 Country No. of Transactions US 607 Japan 185 Korea 150 Taiwan 94 Germany 69 Canada 64 UK 53 Hong Kong 27 France 24 Belgium 17 Netherlands 17 Australia 13 China 12 Denmark 11 Country No. of Transactions Austria 9 Italy 8 Norway 4 Switzerland 3 Estonia 2 Israel 2 Portugal 2 Finland 1 Hungary 1 New Zealand 1 Saudi Arabia 1 Singapore 1 Spain 1 The plot in Figure 12 displays the assignor-assignee matrix for this category for 2013, while Figure 13 displays the same information for Table 11 shows a comparison of the top 10 universities/research entities between 2012 and APOLLO ENDOSURGERY INC MUSC FOUND FOR RES DEV NUTECH VENTURES INC LIFE TECHNOLOGIES E-RAY OPTOELECTRONICS TECH CO LTD 24 CLEARINK DISPLAYS LLC 31 LIVEWIRE TEST LABS INC IP RESERVOIR LLC CANON DIGITAL IMAGING SYSTEMS GMBH INTELLECTUAL DISCOVERY INC LAWRENCE LIVERMORE NATIONAL SECURITY Assignor Figure 12. Top university and contract research related assignment transfers to corporate entities for 2013

20 University Patent Transaction Trends for INTELLECTUAL VENTURES HOLDING 74 LLC 10 FACEBOOK INC 10 INTELLECTUAL DISCOVERY CO., LTD. 10 JSOL CORPORATION 12 PST SENSORS (PROPRIETARY) LIMITED No of Transactions SOUTHERN GAS ASSOC BONANZA TECHNOLOGIES LLC SYNGENE LTD VALORISATION-RECHERCHE LLP INVENSAS CORP UT BATTELLE LLC ONCOTHERAPY SCIENCE INC EFIELD INNOVATIONS, LLC Assignee SOUTHWEST RES INST BATTELLE MEMORIAL INST NEW YORK UNIV OAK RIDGE ASSOCIATED UNIVS ITRI MONASH UNIV TOKYO UNIV Assignor MONTREAL UNIV CAPE TOWN UNIV JAPAN RESEARCH INST KOREA INST Figure 13. Top universities and contract research related assignment transfers to corporate entities for 2012 Table 11. Top universities/research entities involved in the transfer of patents to corporate entities in 2012 and 2013 Top Universities In 2012 Rank Top Universities In 2013 Southwest Research Institute 1 California Univ. Battelle Memorial Institute 2 Stanford Res Institute New York Univ. 3 Arizona Univ. Oak Ridge Associated Univ. 4 Tsinghua Univ. ITRI 5 Tokyo Institute Of Tech Monash Univ. 6 Washington Univ. Tokyo Univ. 7 British Columbia Univ. Montreal Univ. 8 Korea Univ. Cape Town Univ. 9 Utah State Univ. Japan Research Institute 10 Korea Institute Of Science And Technology Korea Institute 11 Nebraska Univ. Maryland Univ. 12 South Carolina Univ. Univ. Southampton 13 Johns Hopkins Univ. Electronics And Telecommunications Research Institute 14 Kyoto Univ. The Hong Kong Polytechnic University 15 National Taiwan Univ.

21 University Patent Transaction Trends for Figure 14 details the types of technologies that have been transacted by universities/research entities to corporate entities based on the IPC group. A large number of these transactions are associated with technologies in the compositions of medical preparations, biotechnology (e.g. gene therapy and tissue culturing), medical diagnostics, digital data processing, and semiconductor devices. Figure 14. Top technologies transacted in 2013 based on IPC group per number of transactions. A description of each IPC group is tabulated in Table 12. Class Code Description Table 12. Description of the IPC Group Class Code Description A61K 31/00 C12Q 1/00 G01N 33/00 A61K 38/00 C12N 15/00 H01L 21/00 Medicinal preparations containing organic active ingredients Processes of preparing such compositions of enzymes and microorganisms for Measuring or testing Investigating or analyzing materials by specific methods not covered by groups Medicinal preparations containing peptides Mutation or genetic engineering Manufacturing of Semiconductor devices C07K 14/00 H01L 29/00 C07H 21/00 G01N 21/00 A61P 35/00 H01L 51/00 Peptides having more than 20 amino acids; Gastrins; Somatostatins; Melanotropins; Derivatives thereof Electric Devices e.g. Rectifier, Amplifiers, Oscillators, Switches, Capacitors and Resistors Nucleic acids Material analysis and investigating using optical means Antineoplastic agents Solid state devices using organic materials G06F 17/00 Digital computing for specific applications C12N 5/00 Tissue culture H01L 27/00 Multiple semiconductor devices formed in a common substrate G06F 3/00 User interface arrangements H01L 31/00 Light energy conversion devices C12N 9/00 Enzymes for culturing A61K 39/00 Medicinal preparations containing antigens or antibodies A61K 9/00 Medicinal preparations characterized by special physical form

22 University Patent Transaction Trends for The distribution of patents by assignor in the various technologies is given in Figure 15 (based on a higher level IP subclass). While the University of California System has transacted mainly in material analysis and data processing technologies, Stanford Research Institute has transferred patents related to semiconductor devices and image transmission technologies. Arizona University, on the other hand, has assignments largely in the technology of enzymes-based analysis No of Transactions CALIFORNIA UNIV STANFORD RES INST ARIZONA UNIV 5 TSINGHUA UNIV 16 TOKYO INST OF TECH NEBRASKA UNIV BRITISH COLUMBIA UNIV WASHINGTON UNIV Assignor KOREA UNIV KYOTO UNIV SOUTH CAROLINA UNIV JOHNS HOPKINS UNIV UTAH STATE UNIV 18 4 KOREA INST OF SCIENCE AND TECH 11 3 H01L A61K C12N G01N A61P G06F C07K C12Q C07D A61B C07H A61F G02B C12P IPC Code H04N Figure 15. Top technologies vs. Assignor transacted in 2013 based on the IPC subclass per number of transactions. A description of each IPC subclass is tabulated in Table 13. IPC Subclass A61K H01L G01N C12N G06F A61P C12Q Description Medicinal Preparations Compositions Electric Elements - Semiconductor Devices Testing Materials Microorganisms Or Enzymes Digital Data Processing Medicinal Preparations Based On Disease Measuring/Testing Involving Enzymes Or Micro-Organisms Table 13. Description of the IPC subclass. IPC Subclass A61B C07D A61F C07H C12P G02B H04N C07K Description Diagnosis & Surgery Identification Heterocyclic Compounds Implantable Devices Sugars Fermentation Optical Elements Pictorial Communication Peptides

23 University Patent Transaction Trends for Table 14 provides additional details of the top five universities and the corporate entities they transacted the technology to. Top Assignor and (counts) Table 14. University, corporate entity and technology focus of patents transacted in 2013 Top Assignee and (counts) Technologies California Univ. (115) Stanford Research Institute (56) Lawrence Livermore National Security (111) Los Alamos Nat Security LLC (2) Texas University (1) Us Energy (1) Digital Imaging Systems Gmbh (39) HBC Solutions Inc (2) Selene Communication Technologies LLC (5) Thermolife International LLC (10) Arizona Univ.(37) Intellectual Discovery Inc (15) Inventor (1) J&J (1) Life Technologies (20) Tsinghua Univ. (36) E-Ray Optoelectronics Tech Co Ltd (20) Institute For Information Industry (1) Kaituozhe Ip Management Consultants Ltd (15) Material analysis and testing using optics, Non-biological materials analysis and testing using chemical methods, Semiconductor devices, Electrotherapy, Printed circuits Semiconductor devices Television systems Medicinal preparations Foods or foodstuffs preparation Primary and secondary cells manufacturing, Conductors and insulators, Surgical instruments Nitrogen, phosphorous and their compounds, Compounds containing elements of the 3rd group of the periodic system. Active organic solid state devices Electroluminescent devices and materials Discharge tubes or lamps. Tokyo Institute Of Technology (33) Canon (30) LSIP, LLC (1) IHI Corporation (1) Celgene Corp (1) Semiconductor devices Material testing & analysis Peptides Figure 16 displays a Relecura Topic Map for the set of patent applications transacted from universities/research entities to corporate entities. The concepts showcased relate to chemical compositions for preparing medicines and technologies connected to semiconductor devices, user interfaces, electronic circuits, and medical imaging.

24 University Patent Transaction Trends for Figure 16. Topic Map for concepts based on the patents transacted between universities/research entities and corporate entities

25 No of Duments Assignor University Patent Transaction Trends for The trend plot in Figure 17 displays the age of transacted patents in this category. There are 1,335 patent documents (900 applications) that were transacted from universities/research entities to corporate entities. Many of the patents transacted in this category (i.e. to corporate entities as opposed to government agencies) have filing dates prior to Figure 17. Patent filing trends based on the patents transacted between universities/research entities and corporate entities WASHINGTON UNIV TOKYO INST OF TECH TSINGHUA UNIV ARIZONA UNIV STANFORD RES INST CALIFORNIA UNIV KYOTO UNIV SOUTH CAROLINA UNIV JOHNS HOPKINS UNIV NEBRASKA UNIV KOREA INST OF SCIENCE AND TECH UTAH STATE UNIV KOREA UNIV BRITISH COLUMBIA UNIV Filing Date Figure 18. Assignor vs. Filing Year for the patents transacted between universities/research entities and corporate entities Table 15 displays that Stanford Research Institute transferred assignments to Digital Imaging Systems Gmbh as well as HBC Solutions Inc. However, Tokyo Institute of Technology transferred the most number of assignments in this category, to Canon. This was closely followed by Johns Hopkins University that transferred 8 assignments to Apollo Endosurgery Inc.

26 University Patent Transaction Trends for Table 15. University vs. Corporate Entity for top cited patents (top 50 in terms of number of forward citations) transacted in Stanford Res Inst Digital Imaging Systems Gmbh - 3, HBC Solutions Inc - 1 Tokyo Inst of Tech Canon - 10 Johns Hopkins Univ Apollo Endosurgery Inc - 8 Arizona Univ Life Technologies - 5 British Columbia Univ Clearink Displays LLC - 4 Washington Univ IP Reservoir LLC - 2 California Univ Lawrence Livermore National - 1 Colorado State Univ Optibrand Ltd - 1

27 University Patent Transaction Trends for Findings From the university related transactions that occurred in 2013, technologies in Healthcare, Medical Imaging and Diagnostics, and Semiconductors (to some extent) dominated. The trend in 2013 also witnessed some changes as compared to Rochester University that had transferred only 20 assignments in 2012 emerged among the top three assignors in Sloan Keating Cancer Centre, although among the top assignors last year, assigned a mere 22 patent transactions during Similarly, Rice University s assignments also dropped. The report also indicates that the universities based out of Asian countries such Japan, Korea, and Taiwan have carried out a good amount of patent transactions. Interestingly, while a majority of government agency transacted patents was filed in the recent years, a fair number of transactions executed by corporate entities, was filed in the early 2000s. The only big corporate enterprise to acquire patents from universities was Canon. On the other hand, many other entities such as Lawrence Livermore National Security, Intellectual Discovery, and Digital Imaging Services were quite active in acquiring patents. Combining the 2012 and 2013 data, MIT, California University, and Stanford University emerged as the top universities to have assigned their patents to government agencies. However, ETRI and Korea Institute of Science and Technology stand at the top in assigning patents to corporate entities.

28 University Patent Transaction Trends for About Relecura Relecura is the flagship product of INDUS TechInnovations. It is a web-based patent and portfolio analysis platform that uses a knowledge discovery framework to simplify IP analysis for prior art searches and IP commercialization activities. For more details visit or write to us at info@relecura.com. Disclaimer This document is provided for information purposes only and the contents hereof are subject to change without notice. This document, including the information and analysis and any opinion or recommendation, is neither legal advice nor intended for investment purposes. This document is not warranted to be error-free, nor subject to any other warranties or conditions, whether expressed orally or implied in law, including implied warranties and conditions of merchantability or fitness for a particular purpose. INDUS TechInnovations specifically disclaims any liability with respect to this document and no contractual obligations are formed either directly or indirectly by this document.