Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 1 of 33 PageID #: 40387
`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 1 of 33 PagelD #: 40387
`
`
`
`
`EXHIBIT 20
`EXHIBIT 20
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 2 of 33 PageID #: 40388
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data - September 30, 2023
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81 1.…………................................................
`a. By patent owner
`4027
`b. by other member of the public
`10912
`c. By order of Commissioner
`175
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1991
`1982
`187
`1992
`1983
`186
`1993
`1984
`189
`1994
`1985
`230
`1995
`1986
`232
`1996
`1987
`240
`1997
`1988
`269
`1998
`1989
`242
`1999
`1990
`297
`2000
`
`15114
`26.6%
`72.2%
`1.2%
`
`26.3%
`38.3%
`33.0%
`2.3%
`
`3977
`5796
`4989
`352
`
`Fiscal Yr.
`2021
`2022
`2023
`
`No
`304
`338
`287
`
`No
`309
`390
`359
`379
`395
`413
`380
`348
`391
`312
`
`Fiscal Yr.
`2001
`2002
`2003
`2004
`2005
`2006
`2007
`2008
`2009
`2010
`
`No
`295
`272
`394
`436
`520
`473
`600
`690
`603
`697
`
`Fiscal Yr.
`2011
`2012
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`2020
`
`No
`734
`780
`305
`355
`244
`222
`191
`187
`163
`198
`
`4. Number known to be in litigation…………........................................................................
`
`5593
`
`37.0%
`
`5. Decisions on requests 2 ………….................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`14485
`92.3%
`
`8.3%
`
`13376
`13187
`189
`1198
`1109
`89
`
`1110
`47.4%
`52.6%
`
`526
`584
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`1/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 3 of 33 PageID #: 40389
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`25.2 (mos.)
`18.9 (mos.)
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`7%
`3%
`22%
`
`15%
`10%
`42%
`
`0%
`0%
`1%
`
`Overall Numbers
`
`21.6%
`13.7%
`64.7%
`
`2675
`1696
`8012
`
`9. Total ex parte reexamination certificates issued (1981 – present) …………………………………
`
`12383
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3983
`a. All claims confirmed
`21.4%
`b. All claims canceled
`10.0%
`c. Claims changed
`68.5%
`b. Certificates – 3rd PARTY REQUESTER
`8226
`a. All claims confirmed
`21.9%
`b. All claims canceled
`15.2%
`c. Claims changed
`62.9%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`174
`a. All claims confirmed
`9.8%
`b. All claims canceled
`26.4%
`c. Claims changed
`63.8%
`
`854
`400
`2729
`
`1804
`1250
`5172
`
`17
`46
`111
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`2/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 4 of 33 PageID #: 40390
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data - September 30, 2022
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81 1.…………................................................
`a. By patent owner
`4001
`b. by other member of the public
`10651
`c. By order of Commissioner
`175
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1991
`1982
`187
`1992
`1983
`186
`1993
`1984
`189
`1994
`1985
`230
`1995
`1986
`232
`1996
`1987
`240
`1997
`1988
`269
`1998
`1989
`242
`1999
`1990
`297
`2000
`
`14827
`27.0%
`71.8%
`1.2%
`
`26.6%
`38.1%
`33.2%
`2.2%
`
`3937
`5644
`4917
`329
`
`Fiscal Yr.
`2021
`2022
`
`No
`304
`338
`
`No
`309
`390
`359
`379
`395
`413
`380
`348
`391
`312
`
`Fiscal Yr.
`2001
`2002
`2003
`2004
`2005
`2006
`2007
`2008
`2009
`2010
`
`No
`295
`272
`394
`436
`520
`473
`600
`690
`603
`697
`
`Fiscal Yr.
`2011
`2012
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`2020
`
`No
`734
`780
`305
`355
`244
`222
`191
`187
`163
`198
`
`4. Number known to be in litigation…………........................................................................
`
`5592
`
`37.7%
`
`5. Decisions on requests 2 ………….................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`14485
`92.3%
`
`8.3%
`
`13376
`13187
`189
`1198
`1109
`89
`
`1110
`47.4%
`52.6%
`
`526
`584
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`1/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 5 of 33 PageID #: 40391
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`25.0 (mos.)
`19.1 (mos.)
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`7%
`3%
`22%
`
`14%
`10%
`42%
`
`0%
`0%
`1%
`
`Overall Numbers
`
`21.3%
`13.3%
`65.3%
`
`2592
`1623
`7947
`
`9. Total ex parte reexamination certificates issued (1981 – present) …………………………………
`
`12162
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3980
`a. All claims confirmed
`21.4%
`b. All claims canceled
`9.9%
`c. Claims changed
`68.7%
`b. Certificates – 3rd PARTY REQUESTER
`8008
`a. All claims confirmed
`21.5%
`b. All claims canceled
`14.8%
`c. Claims changed
`63.7%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`174
`a. All claims confirmed
`9.8%
`b. All claims canceled
`26.4%
`c. Claims changed
`63.8%
`
`851
`395
`2734
`
`1724
`1182
`5102
`
`17
`46
`111
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`2/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 6 of 33 PageID #: 40392
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`www.uspto.gov
`
`Ex Parte Reexamination Filing Data - September 30, 2021
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81 1.…………................................................
`a. By patent owner
`3979
`b. by other member of the public
`10335
`c. By order of Commissioner
`175
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1991
`1982
`187
`1992
`1983
`186
`1993
`1984
`189
`1994
`1985
`230
`1995
`1986
`232
`1996
`1987
`240
`1997
`1988
`269
`1998
`1989
`242
`1999
`1990
`297
`2000
`
`14489
`27.5%
`71.3%
`1.2%
`
`26.8%
`37.6%
`33.4%
`2.1%
`
`3889
`5452
`4844
`304
`
`Fiscal Yr.
`2021
`
`No
`304
`
`No
`309
`390
`359
`379
`395
`413
`380
`348
`391
`312
`
`Fiscal Yr.
`2001
`2002
`2003
`2004
`2005
`2006
`2007
`2008
`2009
`2010
`
`No
`295
`272
`394
`436
`520
`473
`600
`690
`603
`697
`
`Fiscal Yr.
`2011
`2012
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`2020
`
`No
`734
`780
`305
`355
`244
`222
`191
`187
`163
`198
`
`4. Number known to be in litigation…………........................................................................
`
`5593
`
`38.6%
`
`5. Decisions on requests 2 ………….................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`14491
`92.4%
`
`8.2%
`
`13386
`13197
`189
`1185
`1105
`80
`
`1105
`47.6%
`52.4%
`
`526
`579
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`1/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 7 of 33 PageID #: 40393
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`26.0 (mos.)
`19.9 (mos.)
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r
`Owner
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`7%
`3%
`23%
`
`14%
`9%
`42%
`
`0%
`0%
`1%
`
`Overall Numbers
`
`21.2%
`13.1%
`65.8%
`
`2530
`1559
`7854
`
`9. Total ex parte reexamination certificates issued (1981 – present) …………………………………
`
`11943
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3957
`a. All claims confirmed
`21.4%
`b. All claims canceled
`9.8%
`c. Claims changed
`68.9%
`b. Certificates – 3rd PARTY REQUESTER
`7812
`a. All claims confirmed
`21.3%
`b. All claims canceled
`14.4%
`c. Claims changed
`64.2%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`174
`a. All claims confirmed
`9.8%
`b. All claims canceled
`26.4%
`c. Claims changed
`63.8%
`
`846
`386
`2725
`
`1667
`1127
`5018
`
`17
`46
`111
`
`NEEDS FOOTNOTE!
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`2/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 8 of 33 PageID #: 40394
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2020
`
`1. Total requests filed since start of Ex Parte  reexam on 07/01/81 1.…………................................................
`3954
`a. By patent owner
`b. by other member of the public
`10056
`c. By order of Commissioner
`175
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3843
`5279
`4790
`273
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`2020
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`600
`690
`603
`697
`734
`780
`
`14185
`27.9%
`70.9%
`1.2%
`
`27.1%
`37.2%
`33.8%
`1.9%
`
`No
`305
`355
`244
`222
`191
`187
`163
`198
`
`4. Number known to be in litigation…………........................................................................
`
`5428
`
`38.3%
`
`5. Decisions on requests 2 ………….................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`14185
`92.2%
`
`8.3%
`
`13082
`12888
`194
`1183
`1103
`80
`
`1103
`47.6%
`52.4%
`
`525
`578
`
`1/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 9 of 33 PageID #: 40395
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`25.7 (mos.)
`19.3 (mos.)
`
`8. Reexam certificate claim analysis:3
`
`3rd Party Comm'r 
`Owner
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`6%
`3%
`22%
`
`14%
`10%
`44%
`
`0%
`0%
`1%
`
`Overall Numbers
`
`20.9%
`13.1%
`66.0%
`
`2672
`1668
`8424
`
`9. Total ex parte reexamination certificates issued (1981 – present) …………………………………
`
`12764
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3960
`a. All claims confirmed
`20.4%
`b. All claims canceled
`10.0%
`c. Claims changed
`69.6%
`b. Certificates – 3rd PARTY REQUESTER
`8630
`a. All claims confirmed
`21.4%
`b. All claims canceled
`14.2%
`c. Claims changed
`64.4%
`174
`c. Certificates – COMMISSIONER INITIATED REEXAM
`a. All claims confirmed
`9.8%
`b. All claims canceled
`26.4%
`c. Claims changed
`63.8%
`
`809
`396
`2755
`
`1846
`1226
`5558
`
`17
`46
`111
`
`2/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 10 of 33 PageID #: 40396
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2019
`
`1. Total requests filed since start of Ex Parte  reexam on 07/01/81.…………................................................
`a. By patent owner
`3919
`b. by other member of the public
`9893
`c. By order of Commissioner
`175
`
`13987
`28%
`71%
`1%
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3791
`5214
`4732
`250
`
`27%
`37%
`34%
`2%
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`600
`690
`603
`697
`734
`780
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`2018
`2019
`
`No
`305
`355
`244
`222
`191
`187
`163
`
`4. Number known to be in litigation…………........................................................................
`
`1938
`
`14%
`
`5. Decisions on requests 2 ………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`12905
`12718
`187
`1277
`1225
`52
`
`524
`702
`
`14130
`91%
`
`9%
`
`1226
`43%
`57%
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`1/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 11 of 33 PageID #: 40397
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
`25.8 (mos.)
`19.4 (mos.)
`
`8. Total ex parte reexamination certificates issued (1981 ‐ present)………………..
`Owner
`3rd Party Comm'r 
`Requester Requester
`Initiate
`
`a. Certificates with all claims confirmed
`b. Certificates with all claims canceled
`c. Certificates with claims changes
`
`6%
`3%
`19%
`
`15%
`10%
`46%
`
`0%
`0%
`1%
`
`11980
`
`Overall Numbers
`
`20.7%
`12.7%
`66.6%
`
`2480
`1517
`7983
`
`9. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3325
`a. All claims confirmed
`21%
`b. All claims canceled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`8481
`a. All claims confirmed
`21%
`b. All claims canceled
`14%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`174
`a. All claims confirmed
`10%
`b. All claims canceled
`27%
`c. Claims changed
`63%
`
`693
`300
`2332
`
`1769
`1170
`5542
`
`18
`47
`109
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
` 2 The Director granted requests are only granted petitions on denial under 37 CFR 1.515.
`
`2/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 12 of 33 PageID #: 40398
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2018
`
`1. Total requests filed since start of Ex Parte  reexam on 07/01/81.…………................................................
`a. By patent owner
`4137
`b. by other member of the public
`9825
`c. By order of Commissioner
`43
`
`14005
`30%
`70%
`0%
`
`2. Number of Filings by discipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3782
`5270
`4717
`236
`
`27%
`38%
`34%
`2%
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`601
`691
`605
`698
`736
`781
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`2018
`
`No
`305
`355
`243
`225
`189
`189
`
`4. Number known to be in litigation…………........................................................................
`
`4731
`
`34%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`data as of 9/30/2018
`
`12042
`11891
`151
`1136
`1089
`47
`
`586
`1686
`
`13178
`91%
`
`9%
`
`2272
`26%
`74%
`
`27.7 (mos.)
`19.8 (mos.)
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 13 of 33 PageID #: 40399
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r 
`Owner
`Requester Requester
`Initiate
`
`Overall
`
`a. All claims confirmed
`b. All claims canceled
`c. Claims changed
`
`6%
`3%
`20%
`
`15%
`10%
`47%
`
`0%
`0%
`0%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2391
`b. Certificates with all claims canceled
`1404
`c. Certificates with claims changes
`7608
`
`21%
`12%
`67%
`
`11403
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3337
`a. All claims confirmed
`21%
`b. All claims canceled
`9%
`c. Claims changed
`69%
`b. Certificates – 3rd PARTY REQUESTER
`8362
`a. All claims confirmed
`20%
`b. All claims canceled
`13%
`c. Claims changed
`62%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`41
`a. All claims confirmed
`5%
`b. All claims canceled
`56%
`c. Claims changed
`39%
`
`690
`293
`2313
`
`1681
`1062
`5174
`
`2
`23
`16
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`2/2
`data as of 9/30/2018
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 14 of 33 PageID #: 40400
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2017
`
`1. Total requests filed since start of Ex Parte  reexam on 07/01/81.…………................................................
`a. By patent owner
`3912
`b. by other member of the public
`9686
`c. By order of Commissioner
`43
`
`13641
`29%
`71%
`0%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`3670
`5148
`4596
`227
`
`27%
`38%
`34%
`2%
`
`Fiscal Yr.
`2013
`2014
`2015
`2016
`2017
`
`No
`305
`355
`243
`219
`191
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`601
`691
`605
`698
`736
`781
`
`4. Number known to be in litigation…………........................................................................
`
`4648
`
`34%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`data as of 9/30/2016
`
`12047
`11913
`134
`1100
`1054
`46
`
`494
`562
`
`13147
`92%
`
`8%
`
`1056
`47%
`53%
`
`26.4 (mos.)
`19.4 (mos.)
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 15 of 33 PageID #: 40401
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r 
`Owner
`Requester Requester
`Initiate
`
`Overall
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`46%
`
`0%
`0%
`0%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2391
`b. Certificates with all claims canceled
`1404
`c. Certificates with claims changes
`7608
`
`21%
`12%
`67%
`
`11403
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3296
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7917
`a. All claims confirmed
`21%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`41
`a. All claims confirmed
`5%
`b. All calims cancled
`56%
`c. Claims changed
`39%
`
`690
`293
`2313
`
`1681
`1062
`5174
`
`2
`23
`16
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`2/2
`data as of 9/30/2017
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 16 of 33 PageID #: 40402
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2016
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3887
`b. by other member of the public
`9520
`c. By order of Commissioner
`43
`
`13450
`29%
`71%
`0%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`269
`1996
`
`No
`242
`297
`309
`390
`359
`379
`395
`413
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`380
`348
`391
`312
`295
`272
`394
`436
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`520
`473
`601
`691
`605
`698
`736
`781
`
`3632
`5085
`4521
`212
`
`27%
`38%
`34%
`2%
`
`Fiscal Yr.
`2013
`2014
`2015
`2015
`
`No
`305
`355
`243
`219
`
`4. Number known to be in litigation…………........................................................................
`
`4350
`
`32%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`data as of 9/30/2016
`
`11835
`11704
`131
`1094
`1048
`46
`
`492
`556
`
`12929
`92%
`
`8%
`
`1048
`47%
`53%
`
`25.77 (mos.)
`20.2 (mos.)
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 17 of 33 PageID #: 40403
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r 
`Owner
`Requester Requester
`Initiate
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`45%
`
`0%
`0%
`0%
`
`Overall
`
`21%
`12%
`66%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2337
`b. Certificates with all claims canceled
`1339
`c. Certificates with claims changes
`7303
`
`10979
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3270
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7519
`a. All claims confirmed
`22%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`41
`a. All claims confirmed
`5%
`b. All calims cancled
`56%
`c. Claims changed
`39%
`
`685
`291
`2294
`
`1631
`999
`4889
`
`2
`23
`16
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`
`data as of 9/30/2014
`
`2/2
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 18 of 33 PageID #: 40404
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2015
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3957
`b. by other member of the public
`9014
`c. By order of Commissioner
`165
`
`13136
`30%
`69%
`1%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`268
`1996
`
`No
`243
`297
`307
`392
`359
`379
`392
`418
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`376
`350
`385
`318
`296
`272
`392
`441
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`524
`511
`643
`680
`658
`780
`759
`787
`
`3569
`5265
`4418
`220
`
`27%
`40%
`34%
`2%
`
`Fiscal Yr.
`2013
`2014
`2015
`
`No
`296
`342
`240
`
`4. Number known to be in litigation…………........................................................................
`
`4819
`
`37%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/2
`data as of 9/30/2015
`
`11623
`11492
`131
`1018
`980
`38
`
`496
`622
`
`12641
`92%
`
`8%
`
`1118
`44%
`56%
`
`26.5 (mos.)
`19.6 (mos.)
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 19 of 33 PageID #: 40405
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r 
`Owner
`Requester Requester
`Initiate
`
`Overall
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`45%
`
`0%
`0%
`1%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2331
`b. Certificates with all claims canceled
`1334
`c. Certificates with claims changes
`7286
`
`21%
`12%
`67%
`
`10951
`21%
`12%
`67%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3268
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7513
`a. All claims confirmed
`22%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`170
`a. All claims confirmed
`11%
`b. All calims cancled
`26%
`c. Claims changed
`63%
`
`685
`291
`2292
`
`1628
`998
`4887
`
`18
`45
`107
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`2/2
`data as of 9/30/2015
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 20 of 33 PageID #: 40406
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2014
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………................................................
`a. By patent owner
`3833
`b. by other member of the public
`9217
`c. By order of Commissioner
`167
`
`13217
`29%
`70%
`1%
`
`2. Number of Filings by dicipline
`a. Chemical Operation
`b. Electrical Operation
`c. Mechanical Operation
`d. Design Patents
`
`3. Annual Ex Parte  Reexam Filings
`Fiscal Yr.
`No
`Fiscal Yr.
`1981
`78 (3 mos.)
`1989
`1982
`187
`1990
`1983
`186
`1991
`1984
`189
`1992
`1985
`230
`1993
`1986
`232
`1994
`1987
`240
`1995
`1988
`268
`1996
`
`No
`243
`297
`307
`392
`359
`379
`392
`418
`
`Fiscal Yr.
`1997
`1998
`1999
`2000
`2001
`2002
`2003
`2004
`
`No
`376
`350
`385
`318
`296
`272
`392
`441
`
`Fiscal Yr.
`2005
`2006
`2007
`2008
`2009
`2010
`2011
`2012
`
`No
`524
`511
`643
`680
`658
`780
`759
`787
`
`3516
`5167
`4330
`204
`
`27%
`39%
`33%
`2%
`
`Fiscal Yr.
`2013
`2014
`
`No
`305
`343
`
`4. Number known to be in litigation…………........................................................................
`
`4362
`
`33%
`
`5. Decisions on requests………….....................................................................................
`a. No. granted
`(1) By examiner
`(2) By Director (on petition)
`b. No. denied
`(1) By examiner
`(2) Reexam vacated
`
`6. Total examiner denials (includes denials reversed by Director)…………........................
`a. Patent owner requester
`b. Third party requester
`
`7. Overall reexamination pendency (Filing date to certificate issue date)........................
`a. Average pendency
`b. Median pendency
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`1/3
`data as of 9/30/2014
`
`11402
`11271
`131
`1027
`990
`37
`
`665
`621
`
`12429
`92%
`
`8%
`
`1067
`62%
`58%
`
`22.3 (mos.)
`15.9 (mos.)
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 21 of 33 PageID #: 40407
`
`8. Reexam certificate claim analysis:
`
`3rd Party Comm'r 
`Owner
`Requester Requester
`Initiate
`
`a. All claims confirmed
`b. All calims cancled
`c. Claims changed
`
`6%
`3%
`21%
`
`15%
`9%
`44%
`
`0%
`0%
`1%
`
`Overall
`
`22%
`12%
`66%
`
`9. Total ex parte reexamination certificates issued (1981 – present) ………………………
`a. Certificates with all claims confirmed
`2303
`b. Certificates with all claims canceled
`1301
`c. Certificates with claims changes
`7094
`
`10698
`22%
`12%
`66%
`
`10. Reexam claim analysis – requester is patent owner or 3rd party or Commissioner initiated.
`a. Certificates – PATENT OWNER REQUESTER
`3256
`a. All claims confirmed
`21%
`b. All calims cancled
`9%
`c. Claims changed
`70%
`b. Certificates – 3rd PARTY REQUESTER
`7272
`a. All claims confirmed
`22%
`b. All calims cancled
`13%
`c. Claims changed
`65%
`c. Certificates – COMMISSIONER INITIATED REEXAM
`170
`a. All claims confirmed
`11%
`b. All calims cancled
`26%
`c. Claims changed
`63%
`
`685
`289
`2282
`
`1600
`967
`4705
`
`18
`45
`107
`
` 1 Total decisions on requests does not include requests that have been vacated or are pending.
`
`data as of 9/30/2014
`
`2/3
`
`

`

`Case 1:17-cv-00770-JDW Document 439-20 Filed 07/31/24 Page 22 of 33 PageID #: 40408
`
`United States Patent and Trademark Office
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313‐1450
`www.uspto.gov
`
`Ex Parte  Reexamination Filing Data ‐ September 30, 2013
`
`1. Total requests filed since start of Ex Parte reexam on 07/01/81.…………........................
`a. By patent owner
`b. by other member