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January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of Management 617-497-4000 x509 [email protected] Joost Bonsen, MIT $50K Lead Organizer Emeritus, MIT Committee on IP Rep. Graduate Student, MIT Sloan School of Management 617-930-0415 [email protected] Karl Ruping, IP Lawyer, IncTANK Co-Founder Graduate Student, MIT Electrical Engineering / ASP ruping@ mit .edu MIT IAP 2003

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Page 1: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

January 16, 2003

           

          

Intellectual Property Strategy

From Patent Portfolio to Profit

Joe Hadzima, IPVision Co-FounderSenior Lecturer, MIT Sloan School of Management

617-497-4000 x509 [email protected]

Joost Bonsen, MIT $50K Lead Organizer Emeritus, MIT Committee on IP Rep. Graduate Student, MIT Sloan School of Management

617-930-0415 [email protected]

Karl Ruping, IP Lawyer, IncTANK Co-FounderGraduate Student, MIT Electrical Engineering / ASP

[email protected]

MIT IAP 2003

Page 2: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Introductions

Name, Department, Patent Experience

Page 3: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Our Goals, Your Take-Aways

Value & Importance of Strategic Perspective Tools & Methods for thinking about the problem How use this to your advantage

Page 4: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Other Patent, Copyright, & IP over IAP

Copyright Issues and MIT Policy http://websis.mit.edu/searchiap/iap-3423.html

Opportunities Outside the Laboratory for PhDs: Patent Law http://student.mit.edu/searchiap/iap-5033.html

Everything You Wanted to Know about Patents: Patent Searching Fundamentals

http://websis.mit.edu/searchiap/iap-3380.html

Everything You Wanted to Know about Patents: The Patent Process http://websis.mit.edu/searchiap/iap-3378.html

Finding or Creating and Protecting Technology Suitable for a Startup

http://websis.mit.edu/searchiap/iap-4882.html

Law Career Panel http://websis.mit.edu/searchiap/iap-4615.html

Page 5: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

Forms of IP

Patents Copyrights Trademarks / Service Marks Trade Secrets

Page 6: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

A patent is a new (“novel” relative to prior art), useful invention which has been registered with the patent office.

Right: to prevent others from making, using, selling, offering for sale, or importing for 20 years from the date of filing.

Ex: A method for replenishing liquid in a contained medium.

Patents

Page 7: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Patent Application No. WO9939598 Headgear in

the form of a portable container with a spigot (14) for dispensing the

contents (18) by gravity or pressure. The spigot

(14) may have a hose so that the contents can be

dispensed by suction direct to the wearer's mouth. The headgear

can also include a cooling system; a

heating system; an audio system; and/or a visual

system.

Page 8: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

CopyrightsAn author’s original expression in a tangible medium

Exclusive right to reproduce, sell, display, etc.)BUT this exclusive right is limited by fair use (i.e. news reporting, research/scholarship)

Term: Author+70 years (or 95 years for corporate)

Ex: software code, written manuals, visual images

Page 9: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

A distinctive mark which identifies the source of a good or service

Right to prevent other confusingly similar marks for the same or similar goods.

Term: 10 years, but extendable… forever!!

Ex: BIGMAC (goods) MACDONALDS (services – restaurant)pink insulation – OwensCorning

Trademark / Service Mark

Page 10: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

Commercially Valuable Information that is Secret or Inaccessible to the Public

Right to prevent the use (or transmission) of a TS that was inappropriately obtained

Term: Forever, as long as held secret!

Examples??

Trade Secret

Page 11: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

• Secret formula!!!

• Coca-Cola™

• It’s the real thing

• Patented can

Page 12: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Overview of Strategic Perspective

Importance of Intellectual Property The Opportunity and Problem Developing an IP Strategy Analytics & IP Management

Page 13: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Overview of Strategic Perspective

Importance of Intellectual Property The Opportunity and Problem Developing an IP Strategy Analytics & IP Management

Page 14: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

IP Assets Have Huge Value

Hewlett-Packard pays Pitney Bowes $400 million to settle patent disputeASSOCIATED PRESS Tuesday June 5th, 2001

STAMFORD, Conn. — Hewlett-Packard Co. agreed Monday to pay Pitney Bowes Inc. $400 million to settle a lawsuit over print technology patents….

The companies resolved all litigation without admitting wrongdoing.

In CY2000 HP had net earnings of $3.7B on sales of $48.7B. To earn $400M HP had to generate $5.26B in Sales.

Page 15: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Major Changes in the Last 20 Years

1982: Creation of Federal Circuit Court of AppealsWillful Infringement – Treble DamagesRate of Patenting Increased Average # Patents/Year Issued Prior to

1990: 36,000 Patents issued in 1990- 1999: 1,000,000

100,000/yr 2000: Average of 20,000 patents per month

Page 16: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Top 10 Damage Awards (1982-2000)

Case Decision Year Damages Awarded

Polaroid v. Kodak 1991 $873,158,971

J&J (Cordis) v. Boston Scientific 2000 324,400,000

J&J (Cordis) v. Medtronic 2000 271,000,000

Haworth v. Steelcase 1996 211,499,731

Smith Int’l v. Hughes Tool 1986 204,809,349

J&J v. Amgen 1998 200,000,000

P&G v. Paragon Trade Brands 1997 178,400,000

Viskase v. American Natl Can 1999 164,900,000

Fonar Corp v. GE 1997 128,700,000

3M v. J&J Orthopaedics 1992 116,797,696

From: Edison in the Boardroom, pg 40

Page 17: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

The Importance of IP Assets:Significant Investment In IP

Patents represent growing R&D investment + ongoing legal costs.>$4B/Yr. spent on U.S. patent applications alone.

$26.1B

$11.1B

$10.5B

$3.1B

$9.4B

$8.6B

$24.3B

PortfolioValue (est.)

$2,816,9011207$3.4BMotorola

$2,862,254559$1.6BSun Microsystems

2736

850

1137

758

254

New Patents (’99)

$1,827,485$5.0BIBM

$2,823,529$2.4BHewlett Packard

$3,957,784$4.5BLucent

$4,089,710$3.1BIntel

$8,267,717$2.1BMerck

Avg. R&D $/Patent

’99 R&D Investment

Company

Page 18: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

The Importance of IP Assets: Exponential Growth in IP

$100B in licensing fees in 1999, increasing over 3,333% since 1980.

Growth in IPLicensing Fees

($ Billions)

$3

$15

$100

$0

$20

$40

$60

$80

$100

$120

1980 1990 1999

IBM collected $1.5B in licensing fees in 1999, up from $500M in 1994.- 1999 Revenues

equate to ~$35 Billion in Market Cap for IBM

- IBM averages ten new patents every working day.

Page 19: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Overview of Strategic Perspective

Importance of Intellectual Property The Opportunity and Problem Developing an IP Strategy Analytics & IP Management

Page 20: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

The IP Value Hierarchy

Defensive

Cost Center

Profit Center

Integrated

Visionary

From: Edison in the Boardroom

Page 21: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

The Opportunity and Problem:

Intellectual Property is increasingly being recognized as an immensely important corporate asset.

However, IP is the only major corporate asset which is not systematically managed

Education & Research Institutions Global Multinationals & Fortune 500s Technology Startups & Entrepreneurs

Page 22: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

CTO’s task includes…

Assess what’s lifespan of technology and when use it? E.g. Virtual Ink’s sensor

Set stage for future versions and future product families Where want business to be in several

years

Portfolio-building Offensive & Defensive

Page 23: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

Entrepreneurs Perspective on IP

Everyone – for example, VCs – asks “who owns the IP?” Can you legally build your product without infringing? Critical to getting company financed

Page 24: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

Frequent Tech-Entrepreneur Mistakes

Public speaking – enabling disclosures Miss the relevant, but indirect IP Don’t know how to deal with counsel Lack big-picture perspective

Page 25: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Overview of Strategic Perspective

Importance of Intellectual Property The Opportunity and Problem Developing an IP Strategy Analytics & IP Management

Page 26: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

How Do You Get There?

Need Systems, Processes and TOOLS IPVision as one case example tool

Analogy: Cost Accounting Helps Me Determine High Margin Products

But Can’t Do This WithoutProcesses to Collect Cost DataTools to Measure and Analyze

Page 27: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

IP Analysis Before…Search List of Patents

NewOpptys.

OwnPortfolio

A Mapping SolutionSearch See Relationships

Double Click Access to Patent

Page 28: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Top 12 by Assignee # 97 P fizer Inc. 11 A lcon Laboratories, Inc. 9 C iba-Geigy Corporation 6 Im perial Chem ical Industries PLC 6 The Procter & Gam ble Com pany 5 Nelson Research & Developm ent Com pany 4 Am erican Cyanam id Com pany 4 Hoechst-Roussel Pharm aceuticals Incorporated 4 Mochida Pharm aceutical Co., Ltd. 4 SMITHKLINE BECKMAN CORPORATION 3 E . R . Squibb & Sons, Inc. 3 Hoechst Aktiengesellschaft 89 M ISC

245 Total Patents on this Map

Visual Map: Assessment Algorithms

Visual Map: Assessment Algorithms

- Licensing $$ Prospects (star) - Portfolio Strength (pentagon)

- Licensing $$ Prospects (star) - Portfolio Strength (pentagon)

Page 29: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Tool-use Growing e.g. IPVision

SENIOR MANAGEMENTStrategic PlanningM&A Due Diligence

Resource & Asset Management

Computers / Electronics / Telecommunications,Pharmaceutical-Biotech / Chemical / Financial Services

RESEARCH & DEVELOPMENTTechnology

TrackingOpportunity Analysis

Resource Management

PRODUCT MARKETINGPortfolio

ManagementBuild vs. Buy Decisions

Competitor Tracking

BUS. DEV & LICENSINGDeal Prospecting

Competitor TrackingValuation Analysis

LEGALLitigation SupportPortfolio Tracking

Patent Investigation

Page 30: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Corporate IP Asset Management:

IP Value AssessmentComprehensive review of portfolio, in context of market space.

Strategic AlignmentBenchmark assessment of IP strength, ranking against competitors or markets.

Realization & ActionRoadmap to manage holdings based on operating and strategic guidelines.

Continuously…

Quarterly

Yearly

Page 31: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Overview of Strategic Perspective

Importance of Intellectual Property The Opportunity and Problem Developing an IP Strategy Analytics & IP Management

Page 32: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

1997 1998 1999

1997 1998 1999

( 32 , 1 ) 5###566 EMC CorVishlitzky, Natan;Ofek, Yu Redundant storage with mirroring by logical volume w

Title Inventors

Color-coded by top 8 Assignees

U.S. Patent Number, Assignee

Distance between dotted lines represents one year.

Total # of “References Cited” by this Patent.

Filing Date = Vertical Tail

Rectangle represents a single U.S. Patent

Issue Date = Left edge of rectangle

Total # of “Referenced By” from this Patent.

Citation Reference link(2,10) 5###134Smith, RobertLogical volumes

Page 33: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Competitive AssessmentMIT Owns These 1875 Patents

17

ye

ar

refe

ren

ce li

ne

.

List of Assignee # 1801 Massachusetts Institute of Technology 11 The General Hospital Corporation 7 Massachusettes Institute of Technology 7 New England Medical Center Hospitals 6 President and Fellows of Harvard College 3 Children's Medical Center Corporation 3 The Massachusetts Institute of Technology 2 Brigham & Women's Hospital 2 Candescent Technologies Corporation 2 FSI International, Inc. 2 General Motors Corporation 2 Lockheed Sanders, Inc. 2 Massachusette Institute of Technology 2 The Pillsbury Company 2 W. R. Grace & Co. 1 Albert Einstein College of Medicine of Yeshiva University, a 1 AT&T Bell Laboratories 1 Beth Israel Hospital 1 Charles Stark Draper Laboratory 1 Chrysler Corporation 1 Cubist Pharmaceuticals, Inc. 1 Cynosure, Inc. 1 Electro-Pyrolysis, Inc. 1 Fujitsu Limited 1 Gas Research Institute 1 Inco Alloys International, Inc. 1 International Business Machines Corporation 1 Matsushita Electric Industrial Co., Ltd. 1 NEC Corporation 1 Oculon Corporation 1 Oculon Corporation, Massachusetts Institute of Technology 1 Silicon Video Corp. 1 Sony Corporation 1 Speedline Technologies, Inc. 1 The Children's Medical Center Corporation 1 University of Montreal

List of US Class # 146 435 - CHEMISTRY: MOLECULAR BIOLOGY AND MICROBIOLOGY 79 424 - DRUG, BIO-AFFECTING AND BODY TREATING COMPOSITIONS 68 372 - COHERENT LIGHT GENERATORS 65 395 - INFORMATION PROCESSING SYSTEM ORGANIZATION 63 514 - DRUG, BIO-AFFECTING AND BODY TREATING COMPOSITIONS 57 359 - OPTICS: SYSTEMS (INCLUDING COMMUNICATION) AND ELEMENTS 56 128 - SURGERY 48 437 41 156 - ADHESIVE BONDING AND MISCELLANEOUS CHEMICAL MANUFACTURE 41 364 - ELECTRICAL COMPUTERS AND DATA PROCESSING SYSTEMS 40 356 - OPTICS: MEASURING AND TESTING 38 257 - ACTIVE SOLID-STATE DEVICES (E.G., TRANSISTORS, SOLID-STATE DIODES) 36 382 - IMAGE ANALYSIS 35 324 - ELECTRICITY: MEASURING AND TESTING 34 204 - CHEMISTRY: ELECTRICAL AND WAVE ENERGY 31 530 - CHEMISTRY: NATURAL RESINS OR DERIVATIVES; PEPTIDES OR PROTEINS; LIGNINS OR REACTION PRODUCTS THEREOF 30 428 - STOCK MATERIAL OR MISCELLANEOUS ARTICLES 29 250 - RADIANT ENERGY 29 427 - COATING PROCESSES 28 073 - MEASURING AND TESTING 26 358 - FACSIMILE 23 264 - PLASTIC AND NONMETALLIC ARTICLE SHAPING OR TREATING: PROCESSES 20 623 - PROSTHESIS (I.E., ARTIFICIAL BODY MEMBERS), PARTS THEREOF, OR AIDS AND ACCESSORIES THEREFOR 19 505 - SUPERCONDUCTOR TECHNOLOGY: APPARATUS, MATERIAL, PROCESS 19 528 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 18 310 - ELECTRICAL GENERATOR OR MOTOR STRUCTURE 18 604 - SURGERY 17 136 - BATTERIES: THERMOELECTRIC AND PHOTOELECTRIC 17 525 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 16 536 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 15 164 - METAL FOUNDING 15 385 - OPTICAL WAVEGUIDES 15 606 - SURGERY 14 219 - ELECTRIC HEATING 14 333 - WAVE TRANSMISSION LINES AND NETWORKS 14 556 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 13 210 - LIQUID PURIFICATION OR SEPARATION 13 436 - CHEMISTRY: ANALYTICAL AND IMMUNOLOGICAL TESTING 13 549 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 13 600 - SURGERY 12 148 - METAL TREATMENT 12 348 - TELEVISION 12 365 - STATIC INFORMATION STORAGE AND RETRIEVAL 12 375 - PULSE OR DIGITAL COMMUNICATIONS 12 423 - CHEMISTRY OF INORGANIC COMPOUNDS 11 318 - ELECTRICITY: MOTIVE POWER SYSTEMS 11 342 - COMMUNICATIONS: DIRECTIVE RADIO WAVE SYSTEMS AND DEVICES (E.G., RADAR, RADIO NAVIGATION) 11 422 - CHEMICAL APPARATUS AND PROCESS DISINFECTING, DEODORIZING, PRESERVING, OR STERILIZING 10 075 - SPECIALIZED METALLURGICAL PROCESSES, COMPOSITIONS FOR USE THEREIN, CONSOLIDATED METAL

POWDER COMPOSITIONS, AND LOOSE METAL PARTICULATE MIXTURES 10 376 - INDUCED NUCLEAR REACTIONS: PROCESSES, SYSTEMS, AND ELEMENTS 9 340 - COMMUNICATIONS: ELECTRICAL 9 345 - COMPUTER GRAPHICS PROCESSING, OPERATOR INTERFACE PROCESSING, AND SELECTIVE VISUAL DISPLAY SYSTEMS 9 430 - RADIATION IMAGERY CHEMISTRY: PROCESS, COMPOSITION, OR PRODUCT THEREOF 8 117 - SINGLE-CRYSTAL, ORIENTED-CRYSTAL, AND EPITAXY GROWTH PROCESSES; NON-COATING 8 205 - ELECTROLYSIS: PROCESSES, COMPOSITIONS USED THEREIN, AND METHODS OF PREPARING THE COMPOSITIONS 8 341 - CODED DATA GENERATION OR CONVERSION 8 438 - SEMICONDUCTOR DEVICE MANUFACTURING: PROCESS 7 123 - INTERNAL-COMBUSTION ENGINES 7 252 - COMPOSITIONS 7 370 - MULTIPLEX COMMUNICATIONS 7 374 - THERMAL MEASURING AND TESTING 7 429 - CHEMISTRY: ELECTRICAL CURRENT PRODUCING APPARATUS, PRODUCT, AND PROCESS 7 501 - COMPOSITIONS: CERAMIC 7 521 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 7 607 - SURGERY: LIGHT, THERMAL, AND ELECTRICAL APPLICATION 6 029 - METAL WORKING 6 052 - STATIC STRUCTURES (E.G., BUILDINGS) 6 378 - X-RAY OR GAMMA RAY SYSTEMS OR DEVICES 6 380 - CRYPTOGRAPHY 6 419 - POWDER METALLURGY PROCESSES 6 568 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 5 074 - MACHINE ELEMENT OR MECHANISM 5 118 - COATING APPARATUS 5 216 - ETCHING A SUBSTRATE: PROCESSES 5 307 - ELECTRICAL TRANSMISSION OR INTERCONNECTION SYSTEMS 5 315 - ELECTRIC LAMP AND DISCHARGE DEVICES: SYSTEMS 5 420 - ALLOYS OR METALLIC COMPOSITIONS 5 523 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 5 544 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 4 051 - ABRASIVE TOOL MAKING PROCESS, MATERIAL, OR COMPOSITION 4 165 - HEAT EXCHANGE 4 331 - OSCILLATORS 4 343 - COMMUNICATIONS: RADIO WAVE ANTENNAS 4 349 - LIQUID CRYSTAL CELLS, ELEMENTS AND SYSTEMS 4 360 - DYNAMIC MAGNETIC INFORMATION STORAGE OR RETRIEVAL 4 361 - ELECTRICITY: ELECTRICAL SYSTEMS AND DEVICES 4 367 - COMMUNICATIONS, ELECTRICAL: ACOUSTIC WAVE SYSTEMS AND DEVICES 4 369 - DYNAMIC INFORMATION STORAGE OR RETRIEVAL 4 381 - ELECTRICAL AUDIO SIGNAL PROCESSING SYSTEMS AND DEVICES 4 524 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 4 540 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 4 546 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 4 704 - DATA PROCESSING: SPEECH SIGNAL PROCESSING, LINGUISTICS, LANGUAGE 4 707 3 134 - CLEANING AND LIQUID CONTACT WITH SOLIDS 3 313 - ELECTRIC LAMP AND DISCHARGE DEVICES 3 323 - ELECTRICITY: POWER SUPPLY OR REGULATION SYSTEMS 3 327 - MISCELLANEOUS ACTIVE ELECTRICAL NONLINEAR DEVICES, CIRCUITS, AND SYSTEMS 3 415 - ROTARY KINETIC FLUID MOTORS OR PUMPS 3 564 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 166 MISC

List of Inventors # 95 Langer, Robert S . 46 Wurtman, Richard J. 31 Fan, John C. C. 28 Bozler, Carl O. 26 Feld, Michael S. 24 Geis, Michael W. 23 Sinskey, Anthony J. 23 Smith, Henry I. 22 Lim, Jae S. 21 Suh, Nam P. 20 Senturia, S tephen D. 19 Seyferth, Dietmar 19 Weaver, James C. 17 Domb, Abraham J. 17 Ehrlich, Daniel J. 17 Kittrell, Carter 17 Mooradian, Aram 16 Walpole, James N. 14 Cooney, Charles L. 14 McClelland, Robert W. 13 Benedek, George B. 13 Cima, Michael J. 13 Vacanti, Joseph P. 13 Yannas, Ioannis V. 12 Buchwald, Stephen L. 12 Cohen, Richard J. 12 Eisen, Herman N. 12 Flanders, Dale C. 12 Joannopoulos, John D. 12 Peoples, Oliver P. 12 Pratt, Jr., George W. 12 Rha, ChoKyun 12 Swanson, Gary J. 12 Wrighton, Mark S. 12 Zayhowski, John J. 11 Burke, Barry E. 11 Cothren, Jr., Robert M. 11 Edell, David J. 11 Gershenfeld, Neil 11 Growdon, John H. 11 Schmidt, Martin A . 11 Schrock, Richard R. 11 Varshavsky, A lexander 10 Cohn, Daniel R. 10 Fan, Shanhui 10 Liau, Zong-Long 10 Lippard, S tephen J. 10 Merrill, Edward W. 10 Raffel, Jack I. 10 Sadoway, Donald R. 10 Sharpless, K. Barry 10 Tsaur, Bor-Yeu 10 Veldkamp, Wilfrid B. 9 Cohen, S imon S. 9 Flemings, Merton C. 9 Kaplow, Roy 9 Leger, James R. 9 Sawin, Herbert H. 9 Schreiber, William F. 9 Swanson, Eric A. 9 Villeneuve, P ierre R. 9 Yurek, Gregory J. 8 Bredt, James F. 8 Brown, E lliott R. 8 Chiang, A lice M. 8 Clark, Jr., Harry R. 8 Cohen, Robert E . 8 Cornie, James A. 8 Davison, A lan 8 Goodhue, William D. 8 Haus, Hermann A. 8 Howe, Roger T. 8 Hunter, Ian W. 8 Laurencin, Cato T. 8 Leonberger, Frederick J. 8 Mathiowitz, Edith 8 Nelson, Keith A. 8 Poggio, Tomaso 8 Sachs, Emanuel 8 Sachs, Emanuel M. 8 Salisbury, Jr., J. Kenneth 8 Tanaka, Toyoichi 8 Thilly, William G. 8 Tonegawa, Susumu 8 Wurtman, Judith J. 7 Adelson, Edward H. 7 Ahern, Brian S. 7 Chinn, Stephen R. 7 Cima, Linda G. 7 Flytzani-S tephanopoulos, Maria 7 Frank, Robert I. 7 Fujimoto, James G. 7 Haggerty, John S. 7 Hollis, Mark A. 7 Housman, David E . 7 Jamas, Spiros 7 Jones, A lun G. 7 Kost, Joseph 7 Kranz, David M. 7 Lang, Jeffrey H. 7 Lee, Hae-Seung 7 Pal, Uday B. 7 Papadopoulos, Gregory M. 7 Saito, Haruo 7 Schimmel, Paul R. 7 Twichell, Jonathan C. 7 Vander Sande, John B. 7 Wang, Daniel I. C. 7 Yu, Yuan-Fu 6 Bachmair, Andreas 6 Baltimore, David 6 Bromberg, Leslie 6 Chen, Chenson K. 6 Clark, John I. 6 Cohen, Smadar 6 Dally, William J. 6 Finley, Daniel 6 Gale, Ronald P. 6 Gifford, David K. 6 Glicksman, Leon R. 6 Goltsos, William C. 6 Howard, Jack B. 6 Lee, Raphael C. 6 Lele, Padmakar P. 6 Lippman, Andrew B. 6 London, Irving M. 6 Malone, Thomas W. 6 Murphy, R. A llen 6 Nichols, K irby B . 6 Pliquett, Uwe 6 Poon, Chi-Sang 6 Pratt, Gill A. 6 Quatieri, Jr., Thomas F. 6 Reif, L. Rafael 6 Rich, A lexander 6 Schlecht, Martin F. 6 Sharpless, Karl B . 6 Sheehan, John C. 6 Smith, Joshua R. 6 Trumper, David L. 6 Tuller, Harry L. 6 VanderSande, John B. 6 Wang, Christine A. 5 Abrams, Michael J. 5 Allcock, Harry R. 5 Baddour, Raymond F. 5 Beer, Janos M. 5 Bell, Eugene 5 Bernstein, Joseph B. 5 Burke, John F. 5 Eagar, Thomas W. 5 Essigmann, John M. 5 Everett, Patrick N. 5 Fan, Tso Y. 5 Fenn, A lan J. 5 Fey, Edward G. 5 Grant, Nicholas J. 5 Gutowski, Timothy G. 5 Hayes, Gary B. 5 Horvitz, H. Robert 5 Huang, David 5 Itzkan, Irving 5 Jacobson, Joseph M. 5 Kelland, David R. 5 Kintzer, Emily S . 5 Kirtley, Jr., James L. 5 Knight, Jr., Thomas F. 5 Kosicki, Bernard B. 5 Kushner, Lawrence J. 5 Lanza, Richard C. 5 McAulay, Robert J. 5 Mehregany, Mehran 5 Melcher, James R. 5 Mortensen, Andreas 5 Penman, Sheldon 5 Pentland, A lex P. 5 Rosenberg, Robert D. 5 Sasisekharan, Ramnath 5 Smith, Frank W. 5 Sodini, Charles G. 5 Vayenas, Costas G. 5 Williamson, Richard C. 5 Woskov, Paul P. 4 Asada, Haruhiko H. 4 Berenson, Richard W. 4 Blankschtein, Daniel 4 Brenan, Colin J. H. 4 Dionne, Gerald F. 4 Gleason, Karen K. 4 Gref, Ruxandra 4 Hrkach, Jeffrey S. 4 Joannopoulos, John 4 Johnson, Keith H. 4 Krieger, Monty 4 Lafontaine, Serge R. 4 Lai, Kum-Yew 4 LeBoulch, Philippe 4 Minamitake, Yoshiharu 4 Mitragotri, Samir S. 4 Yu, Keh-Chiang 2912 MISC

List of Agents # 407 Hamilton, Brook, Smith & Reynolds 272 Smith, Jr., Arthur A. 98 Fish & Richardson 85 Choate, Hall & Stewart 80 Arnall Golden & Gregory, LLP 68 Engellenner, Thomas J. 62 Kilpatrick & Cody 57 Testa, Hurwitz & Thibeault 51 Wolf, Greenfield & Sacks 50 Cook, Paul J. 49 <blank> 44 Weissburg, Steven J. 40 Wolf, Greenfield & Sacks, P.C. 39 O'Connell, Robert F. 34 Samuels, Gauthier & Stevens 30 Lober, Theresa A. 26 Cesari and McKenna, LLP 25 Neuner, George W. 20 Bromberg & Sunstein 19 Samuels, Gauthier, Stevens & Reppert 18 Fish & Richardson P.C. 18 Maslow, James E. 10 Cesari and McKenna 10 McCann, Florence Fusco 9 Kenway & Jenney 9 Weingarten, Schurgin, Gagnebin & Hayes 8 Clark & Elbing LLP 8 Farrell, Kevin M. 8 Seed and Berry 7 Hopgood, Calimafde, Kalil, Blaustein & Lieberman 7 Lahive & Cockfield 6 Bronstein, Sewall P. 6 Hamilton, Brook, Smith and Reynolds 6 Pabst, Patrea L. 5 Fenwick & West LLP 5 Florence Fusco McCann 5 Jacobs, Bruce 5 Lappin & Kusmer LLP 5 Nutter, McClennen & Fish 5 Tendler, Robert K. 4 Hamilton, Brook Smith & Reynolds 4 Hamilton, Brooks, Smith & Reynolds 4 Lowe, Price, LeBlanc & Becker 4 Myers Bigel Sibley & Sajovec 3 Asher, Robert M. 3 Daly, Christopher S. 3 Daly, Crowley & Mofford, LLP 3 Durigon, Albert Peter 3 Greenfield & Sacks 3 Hieken, Charles 3 Linek, Ernest V. 3 Pennie & Edmonds LLP 3 Rowland, Bertram I. 3 Testa Hurwitz & Thibeault LLP 3 Vincent, Matthew P. 2 Birch, Stewart, Kolasch & Birch 2 Cabic, Edward J. 2 Cesari & McKenna, LLP 2 Fish & Richardson, P.C. 2 Fish and Richardson 2 Gates, Edward R. 2 Hale and Dorr 2 Kinney & Lange 2 Kraus, Robert J. 2 Meyer, Stuart P. 2 Pahl, Jr., Henry D. 2 Palmer & Dodge 2 Pasternack, Sam 2 Saliwanchik, Lloyd & Saliwanchik 2 Testa, Hurwitz and Thibeault 2 Thompson, Birch, Gauthier & Samuels 2 Vidas, Arrett & Steinkraus 2 Wallace, Robert J. 2 Wray, James Creighton 1 Allegretti & Witcoff 1 Arnold, White & Durkee 1 Baker & Botts 1 Baker & Botts, L.L.P. 1 Bieker-Brady, Ph.D, Kristina 1 Buchanan Ingersoll 1 Burns, Doane, Swecker & Mathis 1 Cantor Colburn LLP 1 Caracappa, David N. 1 Christofferson, Clyde R. 1 Clark & Elbing, LLP 1 Connors, Matthew E. 1 Daly, Esq., Christopher S. 1 David Newman & Associates 1 DeConti, Jr., Giulio A. 1 Dike, Bronstein, Roberts & Cushman 1 Fennelly, Richard P. 1 Flehr Hohbach Test Albritton & Herbert LLP 1 Foley, Hoag & Eliot, LLP 1 Frost & Jacobs 1 Fusco McCann, Florence 1 Gesari and McKenna, LLP 1 Greer, Helen 1 Hamilton, Brook , Smith & Reynolds, P.C. 1 Hamilton, Brook, Smi8th & Reynolds 1 Hamilton, Brook, Smith, Reynolds 1 Hamilton,Brook,Smith & Reynolds, P.C. 1 Iandiorio & Teska 1 Judson, David H. 1 Kananen, Ronald P. 1 Lahive & Cockfield, LLP 1 Lorusso & Loud 1 Lyon & Lyon 1 Marshall, O'Toole, Gerstein, Murray & Bicknell 1 Medlen & Carroll, LLP 1 Meyer, Esq., Stuart P. 1 Milde, Jr., Karl F. 1 Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. 1 Morgan & Finnegan 1 Nutter, McClennan & Fish 1 Oblon, Spivak, McClelland, Maier & Neustadt, P.C. 1 Ohlandt, Greeley, Ruggiero & Perle 1 Pennie & Edmonds 1 Ratner & Prestia 1 Reising, Ethington, Barnard, Perry & Milton 1 Remillard, Jane E. 1 Rines & Rines 1 Rines and Rines 1 Roston, Ellsworth R. 1 Saliwanchik & Saliwanchik 1 Samuels, Gauthier, & Stevens 1 Scozzafava, Mary Rose 1 Seed and Berry LPP 1 Skjerven, Morrill, MacPherson, Franklin & Friel 1 Skjerven, Morrill, MacPherson, Franklin, & Friel LLP 1 Skjerven, Morrill, MacPherson, Franklin, and Friel LLP 1 Smith, Arthur A. 1 Smith, Jr,, Arthur A. 1 Smith, Jr. Arthur A. 1 Smith, Richard B. 1 Smurzynski, Thomas V. 1 Stec, Jennifer M. 1 Steen, Edward A. 1 Sterne, Kessler, Goldstein & Fox P.L.L.C. 1 Sughrue, Mion, Zinn, Macpeak & Seas, PLLC 1 Troy, Timothy J. 1 Van Riet, Frank M. 1 Vidas, Arretti & Steinkraus 1 Villacorta, Gilberto M. 1 Weiss, Eli 1 Weissbsurg, Steven J. 1 White, John P.

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1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

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MIT Portforlios: 1875 US Patents issued to MIT dated from 1980 to Dec. 31, 2000

List of Inventors # 76 Hefner, J r., Robert E. 58 Earls , J immy D. 45 Wi ls on, Dav id A. 42 Stev ens , J ames C. 41 Pews , R. Garth 40 Mc Cul lough, J r., Franc is P. 37 Suh, Ky ung W. 34 Mul l ins , Mic hael J . 31 Simon, J a ime 31 Timmers , Franc is J . 30 Py z ik , Alek s ander J . 28 Dev ore, Dav id D. 28 Laughner, Mic hael K. 28 Snelgrov e, R. Vernon 28 Whi te , J erry E. 27 Sc hrenk , Wal ter J . 26 Nic k ias , Peter N. 26 Priddy, Duane B. 26 Sc hmidt, Donald L. 24 Wes s l ing, Ri tc hie A. 23 Harris , Wi l l iam J . 22 Babb, Dav id A. 22 Knight, George W. 22 Ly s enk o, Zenon 21 Bales , Stephen E. 21 Chum, Pak -Wing S. 21 Garl ic h, J os eph R. 21 Ros en, Robert K. 20 Bertram, J ames L. 20 Bowman, Robert G. 20 Clement, Katherine S. 20 Harris , Robert F. 20 Hartwel l , George E. 20 Park , Chung P. 20 Shank ar, Rav i B. 20 Wi ls on, Dav id R. 19 Lai , Shih-Yaw 19 Puc k ett, Paul M. 19 Si lv is , H. Cra ig 19 Wheatley, J ohn A. 18 Garc es , J uan M. 18 Hic k ner, Ric hard A. 18 Ric hey, W. Frank 18 Romer, Duane R. 17 Bec k , Henry N. 17 Dunmead, Stephen D. 17 Inbas ek aran, Muth iah N. 17 Kiefer, Garry E. 17 Mang, Mic hael N. 17 Trey big, Duane S. 17 Walk er, Louis L. 16 Howard, Kev in E. 16 Kol thammer, Brian W. S. 16 Newman, Thomas H. 16 Park er, Theodore L. 16 Thoen, J ohan A. 16 Woo, Edmund P. 15 Bets o, Stephen R. 15 Chau, Chieh-Chun 15 Crump, Druc e K. 15 Eis man, Glenn A. 15 Lee, Guo-s huh J . 15 Molz ahn, Dav id C. 15 Paquet, Andrew N. 14 Ez z el l , Bobby R. 14 Fordy c e, Wi l l iam A. 14 Marc hand, Gary R. 14 Nader, Bas s am S. 14 Shmidt, Cres ton D. 14 Wal ters , Marl in E. 14 Weimer, Alan W. 13 Burba, III, J ohn L. 13 Cars wel l , Robert 13 DeVries , Robert A. 13 Imeok paria , Danie l D. 13 Kruper, J r., Wi l l iam J . 13 Lanc as ter, Gerald M. 13 Mahoney, Robert D. 13 Malone, Bruc e A. 13 Mark s , Mauric e J . 13 Mc Mi l lan, Kenneth 13 Moore, Wi l l iam G. 13 Mus s el l , Robert D. 13 Nei thamer, Dav id R. 13 News ham, Mark D. 13 Ogoe, Samuel A. 13 Patton, Robert T. 13 Perettie , Donald J . 13 Ros e, Gene D. 13 Stobby, Wi l l iam G. 13 Tou, J ames C. 13 Wal ther, Brian W. 12 Babinec , Sus an J . 12 Card in , Alan D. 12 Frank , R. Kei th 12 Gues t, Martin J . 12 Holbrook , Mic hael T. 12 Karande, Seema V. 12 Patton, J as s on T. 12 Tung, Harv ey C. 12 Wang, Chun S. 11 Beaman, Donald R. 11 Bedel l , Stephen A. 11 Brennan, Dav id J . 11 Campbel l , J r., Ric hard E. 11 Chang, Dane 11 Cipriano, Robert A. 11 Cortes , Hernan J . 11 Diehl , Charles F. 11 Faz io, Mic hael J . 11 Hal l , Dav id M. 11 Henton, Dav id E. 11 Ho, Thoi H. 11 Hwang, Wen-Fang 11 Kirc hhoff, Robert A. 11 Lundgard, Ric hard A. 11 Ros enberg, Stev en 11 Rowland, Mic hael E. 11 Sanders , J r., Edgar S. 11 Smits , Guido F. 11 Spenc er, Lee 11 Tabor, Ric k y L. 10 Brews ter, Stev en L. 10 Chaudhary, Bharat I. 10 Chris tians en, Stev en H. 10 Gartner, Charles D. 10 Haag, Anthony P. 10 Hu, Ing-Feng 10 Huc ul , Dennis A. 10 Mark ov ic h, Ronald P. 10 Mc Kinney, Os borne K. 10 Pel le tier, Ronald R. 10 Pierin i , Peter E. 9 Chum, Pak -Wing Stev e 9 Croft, Alan P. 9 Dettlo ff, Marv in L . 9 Farah, Hani 9 Gos wami, Bhuv enes h C. 9 Grunbauer, Henri J . M. 9 Harley, A. Dale 9 Hughes , Morgan M. 9 J a in , Pradeep 9 Kelc h, Robert H. 9 Kes ter, J ohn J . 9 Kles c hic k , Wi l l iam A. 9 LaPac k , Mark A. 9 L iao, Zeng K. 9 Mendoz a, Abel 9 Mez es , Peter S. 9 Pfe i ffer, Curtis D. 9 Pik e, Wi l l iam C. 9 Smith , Dav id A. 9 Soto, J orge 9 Stu l tz , J effrey H. 9 Tas s et, Emmett L . 9 Turner, Robert B. 9 Webb, Stev en P. 9 Whetten, Alan R. 9 Wi ls on, J ohn R. 8 Ains worth , Ol iv er C. 8 Bies er, J ohn O. 8 Cav i tt, Mic hael B. 8 Cheng, Roberta C. 8 Fal la , Danie l J . 8 Haz l i tt, Lonnie G. 8 Hefner, J ohn G. 8 Khaz ai , Bi jan 8 Kl impel , Ric hard R. 8 L iu , Ming-Biann 8 Maj , J os eph J . 8 Mars hal l , Wi l l iam B. 8 Mc Keand, J r., Thomas J . 8 Munja l , Sarat 8 Murray, Danie l J . 8 Ni ls en, Kev in J . 8 Pate l , Rajen M. 8 Pawlos k i , Ches ter E. 8 Pham, Ha Q. 8 Rand, Cy nth ia L. 8 Sc hroc k , Alan K. 8 Sheih, Pong S. 8 Tanc rede, J ean M. 8 Thomas , P. J . 8 Ts ou, Yu-Min 8 Vaughn, Wal ter L . 8 Vo, Chau V. 8 Whi te , Warren D. 8 Whi teman, Nic o le F. 8 Wolc ott, Duane K. 7 Borody c huk , Karen K. 7 deGroot, J ac quely n A. 7 Dubens k y, El len M. 7 Harris , Wi l l iam I. 7 Ito , Larry N. 7 Kale, Lawrenc e T. 7 Mc Kay, Kev in W. 7 Moy er, Eric S. 7 Parik h, Deepak R. 7 St. George, George M. 7 Stewart, Kenneth B. 4457 MISC

List of US Class # 285 525 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 221 428 - STOCK MATERIAL OR MISCELLANEOUS ARTICLES 194 521 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 185 528 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 138 526 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 137 524 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 119 264 - PLASTIC AND NONMETALLIC ARTICLE SHAPING OR TREATING: PROCESSES 81 210 - L IQUID PURIFICATION OR SEPARATION 73 252 - COMPOSITIONS 58 502 - CATALYST, SOLID SORBENT, OR SUPPORT THEREFOR: PRODUCT OR PROCESS OF MAKING 58 568 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 55 204 - CHEMISTRY: ELECTRICAL AND WAVE ENERGY 53 424 - DRUG, BIO-AFFECTING AND BODY TREATING COMPOSITIONS 53 523 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 49 556 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 47 564 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 44 585 - CHEMISTRY OF HYDROCARBON COMPOUNDS 43 501 - COMPOSITIONS: CERAMIC 43 514 - DRUG, BIO-AFFECTING AND BODY TREATING COMPOSITIONS 42 423 - CHEMISTRY OF INORGANIC COMPOUNDS 33 427 - COATING PROCESSES 32 156 - ADHESIVE BONDING AND MISCELLANEOUS CHEMICAL MANUFACTURE 31 558 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 28 055 - GAS SEPARATION 28 073 - MEASURING AND TESTING 22 071 - CHEMISTRY: FERTILIZERS 21 359 - OPTICS: SYSTEMS (INCLUDING COMMUNICATION) AND ELEMENTS 20 570 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 19 429 - CHEMISTRY: ELECTRICAL CURRENT PRODUCING APPARATUS, PRODUCT, AND PROCESS 19 560 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 17 075 - SPECIALIZED METALLURGICAL PROCESSES, COMPOSITIONS FOR USE THEREIN, CONSOLIDATED METAL

POWDER COMPOSITIONS, AND LOOSE METAL PARTICULATE MIXTURES 17 364 - ELECTRICAL COMPUTERS AND DATA PROCESSING SYSTEMS 17 549 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 16 422 - CHEMICAL APPARATUS AND PROCESS DISINFECTING, DEODORIZING, PRESERVING, OR STERILIZING 16 544 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 14 356 - OPTICS: MEASURING AND TESTING 14 546 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 14 562 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 13 395 - INFORMATION PROCESSING SYSTEM ORGANIZATION 13 436 - CHEMISTRY: ANALYTICAL AND IMMUNOLOGICAL TESTING 13 534 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 13 548 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 12 426 - FOOD OR EDIBLE MATERIAL: PROCESSES, COMPOSITIONS, AND PRODUCTS 11 052 - STATIC STRUCTURES (E.G., BUILDINGS) 10 435 - CHEMISTRY: MOLECULAR BIOLOGY AND MICROBIOLOGY 10 536 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 9 430 - RADIATION IMAGERY CHEMISTRY: PROCESS, COMPOSITION, OR PRODUCT THEREOF 8 051 - ABRASIVE TOOL MAKING PROCESS, MATERIAL, OR COMPOSITION 8 203 - DISTILLATION: PROCESSES, SEPARATORY 8 419 - POWDER METALLURGY PROCESSES 7 095 - GAS SEPARATION: PROCESSES 7 106 - COMPOSITIONS: COATING OR PLASTIC 7 366 - AGITATING 7 385 - OPTICAL WAVEGUIDES 7 425 - PLASTIC ARTICLE OR EARTHENWARE SHAPING OR TREATING: APPARATUS 7 510 - CLEANING COMPOSITIONS FOR SOLID SURFACES, AUXILIARY COMPOSITIONS THEREFOR, OR PROCESSES OF

PREPARING THE COMPOSITIONS 6 162 - PAPER MAKING AND FIBER LIBERATION 6 271 - SHEET FEEDING OR DELIVERING 6 493 - MANUFACTURING CONTAINER OR TUBE FROM PAPER; OR OTHER MANUFACTURING FROM A SHEET OR WEB 6 540 - ORGANIC COMPOUNDS -- PART OF THE CLASS 532-570 SERIES 5 008 - BLEACHING AND DYEING; FLUID TREATMENT AND CHEMICAL MODIFICATION OF TEXTILES AND FIBERS 5 134 - CLEANING AND LIQUID CONTACT WITH SOLIDS 5 164 - METAL FOUNDING 5 209 - CLASSIFYING, SEPARATING, AND ASSORTING SOLIDS 5 285 - PIPE J OINTS OR COUPLINGS 5 374 - THERMAL MEASURING AND TESTING 5 522 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 4 053 - PACKAGE MAKING 4 118 - COATING APPARATUS 4 141 - FLUENT MATERIAL HANDLING, WITH RECEIVER OR RECEIVER COACTING MEANS 4 148 - METAL TREATMENT 4 250 - RADIANT ENERGY 4 504 - PLANT PROTECTING AND REGULATING COMPOSITIONS 3 028 - TEXTILES: MANUFACTURING 3 034 - DRYING AND GAS OR VAPOR CONTACT WITH SOLIDS 3 137 - FLUID HANDLING 3 206 - SPECIAL RECEPTACLE OR PACKAGE 3 220 - RECEPTACLES 3 222 - DISPENSING 3 241 - SOLID MATERIAL COMMINUTION OR DISINTEGRATION 3 383 - FLEXIBLE BAGS 3 417 - PUMPS 3 442 - FABRIC (WOVEN, KNITTED, OR NONWOVEN TEXTILE OR CLOTH, ETC.) 3 705 - DATA PROCESSING-FINANCIAL, BUSINESS PRACTICE, MANAGEMENT, OR 2 048 - GAS: HEATING AND ILLUMINATING 2 060 - POWER PLANTS 2 096 - GAS SEPARATION: APPARATUS 2 127 - SUGAR, STARCH, AND CARBOHYDRATES 2 166 - WELLS 2 188 - BRAKES 2 208 - MINERAL OILS: PROCESSES AND PRODUCTS 2 239 - FLUID SPRINKLING, SPRAYING, AND DIFFUSING 2 248 - SUPPORTS 2 277 - J OINT PACKING 2 369 - DYNAMIC INFORMATION STORAGE OR RETRIEVAL 2 405 - HYDRAULIC AND EARTH ENGINEERING 2 432 - HEATING 2 505 - SUPERCONDUCTOR TECHNOLOGY: APPARATUS, MATERIAL, PROCESS 2 507 - EARTH BORING, WELL TREATING, AND OIL FIELD CHEMISTRY 2 588 - HAZARDOUS OR TOXIC WASTE DESTRUCTION OR CONTAINMENT 40 MISC

List of Agents # 1892 <blank> 57 Dean, Jr., J. Robert 48 Kimble, Karen L. 45 Stevens, Timothy S. 35 Jones, S. Preston 32 Howard, Dan R. 27 Galbraith, Ann K. 27 Osborne, D. Wendell 26 Deline, Douglas N. 25 Willis, Reid S. 23 Zuckerman, Marie F. 22 Clark, Janet Pauline 18 Kanuch, Bruce M. 18 O'Keefe, Robert M. 17 Enright, Charles J. 17 Langworthy, John A. 17 Lee, W. J. 15 Schultz, Dale H. 14 Mixan, Craig E. 14 Ruhr, Paula S. 13 Sims, Norman L. 12 Treangen, J. B. 11 Price, Heneveld, Cooper, DeWitt & Litton 9 Damocles, Nemia C. 9 Guffey, James B. 9 Kraebel, Charlotte M. 9 Nilsen, Kevin J. 8 Cavender, Carol J. 8 Harness, Dickey & Pierce 8 Hoppe, James T. 8 Roberts, J. H. 8 Tribble, B. J. 8 Wood, Herron & Evans 8 Zindrick, Thomas D. 7 Brumm, Margaret M. 7 McCulloch, John K. 7 Pravel, Hewitt, Kimball & Krieger 6 Davey, Merlin B. 6 Hill, Stanley K. 6 Sutherland, Barbara J. 6 Ulmer, Duane C. 5 Coughlin, William J. 4 Choo, Tai-Sam 4 Clausen, V. Dean 4 Edwards, R. J. 4 Halldorson, Burke M. 4 Ladd, Thomas A. 4 Meier, Linda Blair 4 Prieto, Joe R. 4 Svoboda, Craig G. 4 Zettler, Lynn M. 3 Cohn, Gary C. 3 Gilbreth, J. M. 3 Lezdey, John 3 Maurer, III, Charles J. 3 Pierce, Andrew E. 3 Porter, Gregory L. 3 Sterne, Kessler, Goldstein & Fox 3 Voelk, Eric K. 2 Arnold, White & Durkee 2 Barney, Charlotte L. 2 Brooks & Kushman P.C. 2 Colley, B. G. 2 Fisher, Christen & Sabol 2 Frayne, Clifford G. 2 Jenkins, Michael S. 2 Jozwiak, Elisabeth T. 2 Karadzic, Dragan J. 2 Krupp, Stephen P. 2 Lee, Walter J. 2 Nesbitt, Stephen L. 2 Pelton, James M. 2 Rohm & Monsanto 2 Schenian, John R. 2 Snyder, Ronald J. 2 Stringham, Robert R. 2 Wood, Phillips, VanSanten, Hoffman & Ertel 1 Berkman, Michael G. 1 Black, Edward W. 1 Blasy, Jill 1 Brookens, Ronald G. 1 Burger, Thomas J. 1 Carter, James G. 1 Culmer, D. 1 Damocle, Nemia C. 1 Dan, Jr., J. Robert 1 Davey, Herlin B. 1 Davis, Randall A. 1 Dean Jr., J. Robert 1 DeCesare, Jim L. 1 Delime, Douglas N. 1 Flehr, Hohbach, Test, Albritton & Herbert 1 Frost & Jacobs 1 Galleraith, Ann K. 1 Gazewood, John A. 1 Glenn, Michael L. 1 Goodman, K. D. 1 Hamilton, Brook, Smith & Reynolds 1 Hardcastle, Ian 1 Hayhurst, Paul D. 1 Hofer, Ronald L. 1 Jozwiak, Lisa T. 1 Killworth Gottman, Hagan Schaeff 1 Killworth, Gottman, Hagan & Schaeff 1 Klauber & Jackson 1 Luken, Jr., Clement H. 1 Lundeen, D. N. 1 Majka, Joseph T. 1 Mason, Kolehmainen, Rathburn & Wyss 1 Morrison & Foerster, LLP 1 Peters, Verny, Jones & Biksa, L.L.P. 1 Price, Heneveld, Copper, DeWitt & Litton 1 Proctor, Llewellyn A. 1 Renner, Kenner, Greive, Bobak, Taylor & Weber 1 Roberts, Jr., Reginald F. 1 SamChoo, Tai 1 Santorsa, Michael P. 1 Santovsa, Michael P. 1 Sapone, Esq., William J. 1 Schilling, Edward E. 1 Selby, Robert W. 1 Shepherd, Philip D 1 Shultz, Dale H. 1 Stallard, David S. 1 The Dow Chemical Company 1 Warrick, Noreen D. 1 Waterman, Richard G. 1 Wills, Reid S. 1 Winkelman, Michael L.

List of Assignees # 2681 The Dow Chemical Company 11Dow Chemical Company 6 Merrell Pharmaceuticals Inc. 2 Board of Regents, The University of Texas System 2 Fluid Packaging Co., Inc. 1 Atochem North America, Inc. 1 Dow Benelux N.V. 1 Dow Corning Corporation 1 Dow Deutschland Inc. 1 Essex Specialty Products, Inc. 1 GKN Westland Aerospace Inc. 1 Hewlett-Packard Company 1 Lexalite International Corp. 1 MidAmerican Energy Holdings Company 1 Purdue Research Foundation 1 Southern Clay Products, Inc. 1 The Board of Regents of the University of Michgan 1 Virginia Polytechnic Institute and State University

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1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

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5876

Dow Chemical Portfolio: 2715 US Patents after 1/1/1990 (data as of December 31, 2000)

Dow Owns These 2715 Patents

Page 34: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Competitive Assessment

Dow Patents (in Red) Citing MIT Patents (in Green)

Top 8 by Assignee # 21 The Dow Chemical Company 8 Massachusetts Institute of Technology 29 Total US Patents on This Map

List of Inventors on This Map # 6 Suh, Kyung W. 5 Wallin, Sten A. 4 Imeokparia, Daniel D. 4 Shmidt, Creston D. 3 Franklin, Ken 3 Malone, Bruce A. 3 Suh, Nam P. 3 Welsh, Gary C. 3 Wijeyesekera, Sunil D. 2 Baldwin, Daniel F. 2 Cha, Sung W. 2 Chiao, Yi-Hung 2 Dupree, Wayne P. 2 Park, Chul B. 2 Root, Larry A. 2 Yamada, Michio 1 Bade, Jeffrey M. 1 Bleck, James A. 1 Bressette, William J. 1 Churchill, Stephen G. 1 Dalke, Brian D. 1 Gallant, Jeffry R. 1 Gifford, David K. 1 Glaser, R. Steven 1 Haggerty, John S. 1 Hart, George W. 1 Heistand, II, Robert H. 1 Imeopkaria, Daniel D. 1 Kern, Jr., Edward C. 1 Knudsen, Arne K. 1 Kramer, Steve A. 1 Lee, Eric K. C. 1 Lindesmith, Robert J. 1 Lucas, Jeffrey A. 1 Martini-Vvedensky, Jane E. 1 Orr, III, Robert A. 1 Paquet, Andrew N. 1 Rafaniello, William 1 Ramaswamy, Srikala 1 Schmidt, Creston D. 1 Sederlund, Edward R. 1 Spears, Marlene A. 1 Thomas, Lowell V. 1 Tuller, Harry L. 1 VanderSande, John B. 1 Waldman, Francis A. 1 Yurek, Gregory J.

17

ye

ar

refe

ren

ce li

ne

( 24, 53) 4473665 MasMartini-Vvedensky, JaneE.;Suh, Nam P.;Waldman,Francis A.Microcellular closed cellfoams

( 4, 5) 4289952 MassHaggerty, John S.P rocess for controlling powdersize with optical energy

( 15, 66) 4672555 MasHart, George W.;Kern, Jr., EDigital ac monitor An a p p a ra tu s a n d me th o d i s p ro v i d e d f

( 15, 110) 4826808 MaYurek, GregoryJ.;VanderSandeP reparation ofsuperconducting oxides and

( 8, 29) 5158986 MasCha, Sung W.;Suh, Nam P.;BaldMicrocellular thermoplasticfoamed with supercritical fluid

( 1, 78) 4891787 MasGifford, David K.P arallel processing systemwith processor array having

( 22, 8) 4957884 TheKnudsen, Arne K.;Rafaniello,Titanium diboride/boroncarbide composites w ith high

( 10, 2) 5340844 TheWelsh, Gary C.;Lee, Eric K.P olystyrene foam and aprocess for making the same

( 14, 19) 5334356 MasBaldwin, Daniel F.;Suh, NamP.;Park, Chul B.;Cha, Sung W.S upermicrocellular foamedma

( 5, 5) 5266605 The Dow CWelsh, Gary C.P olystyrene foam made w ithonly carbon dioxide as a

( 13, 13) 5250577 TheWelsh, Gary C.P olystyrene foam made w ithonly carbon dioxide as a

( 7, 8) 5210105 The Dow CPaquet, Andrew N.;Suh, KyungCarbon black-containingbimodal foam structures and

( 40, 18) 5151866 TheGlaser, R. Steven;Bade, JefHigh speed power analyzer A me th o d a n d a p p a ra tu s fo r ra p i d l y a n

( 14, 6) 4999338 TheWijeyesekera, SunilD.;Heistand,P reparation of metal/superconducting oxide comp

( 13, 0) 5780521 TheShmidt, CrestonD.;Imeopkaria,E xtruded, open-cellmicrocellular alkenyl aromati

( 10, 13) 5403461 MasTuller, Harry L.;Kramer, SteveS olid electrolyte-electrodesystem for an electrochemica

( 6, 1) 5679718 The Dow CSuh, Kyung W.;Yamada,Michio;Shmidt, Creston D.;ImMicrocellular foams containing

( 31, 7) 5655133 TheDupree, Wayne P.;Churchill,SteMassively multiplexedsuperscalar Harvard architec

( 20, 1) 5854295 TheSuh, Kyung W.;Yamada, MichiMicrocellular foams containingan infrared attenuating agent

( 27, 1) 5555424 TheSederlund, Edward R.;LindesE xtended Harvard architecturecomputer memory system wit

( 14, 0) 5670270 TheWallin, Sten A.E lectrode structure for solidstate electrochemical devices

( 47, 0) 6117582 TheWallin, Sten A.;Wijeyesekera,Cathode composition for solidoxide fuel cell

( 18, 0) 6017647 TheWallin, Sten A.E lectrode structure for solidstate electrochemical devices

( 48, 1) 5993986 TheWallin, Sten A.;Wijeyesekera,S olide oxide fuel cell stackwith composite electrodesand m

( 24, 0) 5937264 TheWallin, Sten A.E lectrode structure for solidstate electrochemical devices

( 49, 1) 5935727 TheChiao, Yi-HungS olid oxide fuel cells A fu e l c e l l s ta c k ma d e fro m twod i f fe re n

( 7, 0) 5869544 The Dow CShmidt, Creston D.;Suh, KyunE xtruded, open-cellmicrocellular alkenyl aromati

( 16, 1) 5863960 TheShmidt, CrestonD.;Imeokparia,E xtruded, open-cellmicrocellular alkenyl aromati

( 48, 0) 5922486 TheChiao, Yi-HungCosintering of multilayerstacks of solid oxide fuel cells

1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

List of US Classifications on This Map # 11 521 - SYNTHETIC RESINS OR NATURAL RUBBERS -- PART OF THE CLASS 520 SERIES 6 429 - CHEMISTRY: ELECTRICAL CURRENT PRODUCING APPARATUS, PRODUCT, AND PROCESS 3 395 - INFORMATION PROCESSING SYSTEM ORGANIZATION 2 364 - ELECTRICAL COMPUTERS AND DATA PROCESSING SYSTEMS 2 505 - SUPERCONDUCTOR TECHNOLOGY: APPARATUS, MATERIAL, PROCESS 1 204 - CHEMISTRY: ELECTRICAL AND WAVE ENERGY 1 219 - ELECTRIC HEATING 1 419 - POWDER METALLURGY PROCESSES 1 422 - CHEMICAL APPARATUS AND PROCESS DISINFECTING, DEODORIZING, PRESERVING, OR STERILIZING 1 501 - COMPOSITIONS: CERAMIC

Dow Chemical against MIT - 21 Dow Chemical US Patents citing to 8 MITInterconnection Map (displays interconnectivity amongst only these 29 US Patents, no new patents are added, color-colored by Assignees)

Fuel Cells

NanoFoams

Here are two areas in which Dow patents refer heavily to MIT patents. MIT may have a licensing opportunity or could use a cross license to help settle an infringement action brought by Dow against MIT.

Page 35: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

MIT Opportunities

How might the Institution stake out positions pro-actively? Academics need to be savvy Creativity & Idea Exchange AND Property

Protection

Clashing of cultures Fear & paranoia Openness

IP as a research area

Page 36: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Litigation SupportHow Strong is The Patent? Can It Be Invalidated?

Approach #1: Co-Citation Analysis

2. Patents which are cited by 5,800,992

4

44

4

44

44

4

44

4

4

4

44

4

44

44

5

4

4

4

44

4

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6

8

58009 92

45421 02

45827 89

4617 261

4 6893 10

4 7133 26

47343 63

4 7756 19

48227 31

48247 75

48490 77

51438 54

5219 734

5252 743

5319 079

5 4120 87

54301 36

5 4496 02

5 4516 83

54828 67

55457 30

5 5478 39

55525 38

55787 17

56208 53

4 6894 05

4 9239 01

49507 45

5 0475 24

5 0496 56

5221 736

52625 30

5 4459 34

54647 59

55102 70

5 5410 61

55545 01

55651 73

55673 91

5 5828 01

55936 42

56120 02

5702 672

5 7441 01

5 7443 05

57635 94

57926 07

49421 24

53288 25

54241 86 54896 78

55038 05 56396 03

56659 75

57081 53

57537 88

57703 58

57891 62

4728 591

4783 605

5 3452 13

54649 66

5518 858

56077 33

56587 28

57190 33

5751 780

57767 48

48552 25

49716 77

51027 85

51715 34

51889 34

5 21 04 12

5 27 42 40

5 3326 66

55807 33

5 5827 05

55996 66

56143 86

56230 80

56544 42

56746 86

56956 26

57078 04

57414 11

5747 249

57728 89

57834 06

58009 95

58210 58

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50665 84

5220 004

52682 68

5 27 38 83

52831 75

5314 809

53246 31

53336 75

5 3386 71

5 3407 28

5 3488 53

53647 90

5 37 45 53

53875 10

53895 12

54037 07

54057 74

5 4118 76

54181 49

54200 29

5422 242

54379 78

5 4515 12

5453 355

54551 70

54551 75

54590 34

54707 24

54709 58

5 47 56 10

54879 85

54879 93

55039 95

55124 41

5 5145 50

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1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998

1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998

To p 1 0 b y US C las s

# #Re fs %I n tern al

182 2 57 7 5 435 - CHE M IS T RY : M O LE CULA R B I OLO G Y A N D M IC ROB I O LOG Y

32 3 1 19.3 536 - ORG A NIC C OM P O UN DS - - P A RT O F T HE CL A S S 53 2-570 S E RI E S

18 0 0 422 - CH E MI CA L A P P A RA T US A N D P R O CE S S D IS I NF E CT ING , D E O DOR IZ ING , P R E S ER V IN G , O R S TE RILI ZIN G

11 8 5 9.4 436 - CH E MIS T RY : A NA LY T IC A L A N D I M M UNO LO G I CA L TE S TIN G

8 0 0 530 - CH E MIS TR Y : NA T URA L RE S IN S O R DE RI V A TI V E S ; P E PT ID E S OR P RO TE I NS ; L IG NIN S O R RE A CTION PR O DU C TS TH E RE OF

7 0 0 204 - C HE M IS T RY : E LE CT RI CA L A ND W AV E E NE RG Y

4 0 0 2 50 - RA DI A NT E NE R GY

4 0 0 427 - CO A T ING P R OCE S S E S

4 0 0 514 - DR UG , B IO -A F FE CT ING AN D BO DY T RE AT IN G C O M P OS I TIO NS

4 0 0 548 - ORG A NIC C OM P O UN DS - - P A RT O F T HE CL A S S 53 2-570 S E RI E S

29 1 2 41.6 M I SC

T o p 10 b y As sig ne e

# #R efs % In ter nal

3 9 9 2 39.1 A f fy m ax Te c hno logi es N.V .

1 7 0 0 Ho ffm ann -La Roc he I nc.

1 5 4 7 14.8 <blank >

1 1 0 0 A ffy m etr ix , I nc.

1 0 0 0 C hiro n C orp orat ion

7 0 0 T he P er k in -E l m er C orporat io n

6 114 1.7 Ce t us Co rp orat ion

6 0 0 J oh ns on & Joh ns on Cli ni cal Diagn ost ic s , I nc.

6 0 0 W a rn er-Lam be r t Com p any

5 0 0 T he U ni t ed S t at es of A m er ica as re present ed by the Se cret ary

181 132 49.2 M I S C

Affymetrix Citation Web:“Sibling” Patents and Co-Citation Analysis for Affymetrix patent 5,800,992.Starting with 5,800,992, find all patents it cites and then find all patents citing each one of these.

1. 5,800,992

3. “Sibling” patents citing more than one patents which 5,800,992 cites (ie co-cited patents).

4. The green curved lines represent co-cited patents with more than 4 common citations. This indicates a potential for a high degree of similarity between the co-citing patents.

Example of Co-Citation Analysis to Find Invalidating Prior Patents

Page 37: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

4

4

4

4

44

44

4

44

4

4

4

44

4

44

4

4

5

4

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44

6

85800992Method of detecting nucleicacidsFodor, Stephen P.A.;Solas, D

5547839

5445934

5744305

5503805 5639603

5665975

5708153 5789162

5807522

5667972 Hyseg, Inc.Method of sequencing ofgenoms by hybridization ofoligonucleotide probes

5695940 Hyseq, Inc.Method of sequencing byhybridization of oligonucleotidDrmanac, Radoje T.;Crkvenjako

5733729

5795716Computer-aided visualizationand analysis system forsequence evaluation

Top 10 by Assignee # #Refs %Internal 39 92 39.1 Affymax Technologies N.V. 17 0 0 Hoffmann-La Roche Inc. 15 47 14.8 <blank> 11 0 0 Affymetrix, Inc. 10 0 0 Chiron Corporation 7 0 0 The Perkin-Elmer Corporation 6 114 1.7 Cetus Corporation 6 0 0 Johnson & Johnson Clinical Diagnostics, Inc. 6 0 0 Warner-Lambert Company 5 0 0 The United States of America as represented by the Secretary 181 132 49.2 MISC

Two Hyseq patents co-cite 4 patents with Affymetrix patents

This patent is assigned to Stanford University and also holds potential as a threat to 5,800,992.

Results of Co-citation Analysis for Affymetrix 5,800,992

The Stats Box shows the top 10 most frequently occurring assignees the patents appearing on the Co-Citation Analysis Web

Number of co-cited patents.

4

A high number of co-citations suggests a potential high degree of similarity between the two patents.

8

Page 38: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Litigation SupportInvalidate The Patent- Inventors?

• Here Inventors on Solvay Patents (in Green) also are on Miles Labs Patents (in Red)

• Shows Who Invented With Whom and Where

• Who Owns the Invention?

• This “View” Guides Discovery Strategy

Produce An Inventor History Map

Page 39: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Identify Key Contributors and Value Creators

5334524 S olvay E nzym es, In5380661 S olvay E nzym es, In4717665 M iles Laboratories

5281526 S olvay E nzym es, In4724208 M iles Laboratories

5281526 S olvay E nzym es, In

5256557 S olvay E nzym es, In5405767 S olvay E nzym es, In5439817 S olvay E nzym es, In4717665 M iles Laboratories

4931397 M iles Inc .5759984

5516689 S olvay E nzym es, In5770437 Genencor Internati

4168262 Corne ll Research F4348479 Corne ll Research F4717662 M iles Laboratories4532213 M iles Laboratories4575487 M iles Laboratories

5372941 Rhone-P oulenc Spec5320959 Rhone-P oulenc Inc .

4724208 M iles Laboratories

5543302 S olvay E nzym es, In5118623 S olvay E nzym es, In

5543302 S olvay E nzym es, In

5543302 S olvay E nzym es, In

4355103 M iles Laboratories4510247 M iles Laboratories

4429044 M iles Laboratories

5543302 S olvay E nzym es, In

5543302 S olvay E nzym es, In

5273906 P rom ega Corporatio5705649 P rom ega Corporatio5580747 P rom ega Corporatio5552302 P rom ega Corporatio

5500359 S olvay E nzym es, In5562900 S olvay E nzym es, In5662903 Genencor Internati5662902 Genencor Internati

4717665 M iles Laboratories3905953 M iles Laboratories

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges5427936 K ali-Chem ie Aktien

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5427936 K ali-Chem ie Aktien

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b5453372 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5427936 K ali-Chem ie Aktien

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b5453372 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

4644067 S chering Aktienges5069808 K ali-Chem ie AG

4968610 S chering Aktienges4939089 S chering Aktienges

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5147007 A lfred Teves Gm bH

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5453372 S olvay E nzym es Gm b

5453372 S olvay E nzym es Gm b

5453372 S olvay E nzym es Gm b

5453372 S olvay E nzym es Gm b

5478742 S olvay E nzym es Gm b5346822 S olvay E nzym es Gm b

5739091

5385837 S olvay E nzym es, In5518917 S olvay E nzym es, In5565348 S olvay E nzym es, In

4528553 Conoco Inc .

5472861 S olvay E nzym es, In5541097 S olvay E nzym es, In

5472861 S olvay E nzym es, In5541097 S olvay E nzym es, In

5231017 S olvay E nzym es, In

4920052 M iles Inc .5043176 Haarm ann & Reim er5328845 Universa l Foods Co

5250299 Haarm ann & Reim er4950417 M iles Inc .

5422247 Universa l Foods Co

5541097 S olvay E nzym es, In5472861 S olvay E nzym es, In

4724208 M iles Laboratories4728613

4508825 M iles Laboratories4659667 M iles Laboratories

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5264350 Ins titut P asteur5736375 Genencor Internati5731174 Genecor Internatio5721128 Genencor Internati5721127 Genencor Internati

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5453372 S olvay E nzym es Gm b5352603 K ali-Chem ie AG;Ges

5096922 Gesellschaft fu r B4987072 Gesellschaft fu r B

5558812 S olvay E nzym es Gm b

5281526 S olvay E nzym es, In

4313962 M iles Laboratories4673647 M iles Laboratories

3886288 S w ift and Com pany4355105 M iles Laboratories4390627 M iles Laboratories4438196 M iles Laboratories

4760024 M iles Inc .4713333 M iles Laboratories4689296 M iles Laboratories

4689297 M iles Laboratories4543332 M iles Laboratories

D335074 W illi Hahn Gm bH &5769900 B ayer Aktiengesell

5543302 S olvay E nzym es, In

4673638 M iles Laboratories

46668434743551

Shetty, Jayaram a K .

Boguslawsk i, G eorge

Shultz, John W .

C harles, R obert L . Pate l, C him anbhai P .

Vetter, R om an

W ilke, D etle f

M oeller, Bernhard

M ueller, M artina

M uecke, Ingo

T akenberg, M eike

Konieczny-Janda, G erhard

Boyer, E rnest W .

Lantero, O reste J.

Byng, G raham S .

Brewer, Jack W .

Sarber, Sharon M .

Am ory Anto ine

Aehle, W olfgang

Schom burg, D ietm ar

C lippe, Andre

K iesser, T orsten

K im , C hong Y. Lantero, Jr., O reste J .

G ood, Ivan C .

H ahn, W ilfried

G rosch, Josephine

Subram anian, Sethuram an

Example: Solvay Enzymes

Inventors

Patents In Common

U.S. Group

European

No Interaction

Page 40: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Multiple Database Relationships

Sales => FDA Drug Applications =>Patents

July 1, 2001 (Data as of December 31, 1999)

TEC INTELLECTUAL PROPERTY SYSTEM

TEC CONFIDENTIAL TEC CONFIDENTIAL 2000 TECHNOLOGY ENABLING COMPANY, CAMBRIDGE, MASSACHUSETTS. ALL RIGHTS RESERVED.

Pfizer 1999 WW Revenue

CardioVascular38%

Diabetes2%

Arthritis2%

Infectious Diseases

26%

CNS18%

Allergy5% Viagra

9%

Page 41: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Portfolio Building

Example: IP Portfolio derived from work of Robert Langer of M.I.T.

Has the Company systematically built a patent portfolio around the Key Contributor’s work?

Page 42: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

The Problem:

Obtaining even a single patent requires the efforts of highly skilled lawyers with technical domain expertise dealing with complex legal rules.The resulting patent obtained can be incredibly technical and difficult for the business decision maker to understand.Large enterprises can have thousands of patents, compounding the comprehension problem.As a result, although patents are recognized as strategic assets - they are most typically managed tactically.

Page 43: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

The Problem (cont.):

The large number and highly granular nature of individual patents creates information overload which obscures opportunities: I can’t see the Forest because there are Too Many

Trees in the way. There is – no global view of relationships.

Complexity requires expensive teams to assess IP (e.g. R&D, marketing, legal, licensing).Market landscapes change constantly, as new patents are issued (>20K new patents/month).Existing solutions address only pieces of the problem (e.g. document search & retrieval).

Page 44: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Confidential Presentation

Using Tools, Thinking Strategically

Generates interactive “patent landscape” maps, charts, spreadsheets – revealing overall market context.

Leverages proprietary algorithms for data-mining – highlighting opportunities/threats.

Enables “drill-down” to source documents w/ one-click – direct access to data.

Visualizing Relationships…

Page 45: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

IP Management Process:

Patent PortfolioInvestigation

Patent PortfolioInvestigation

Build FrameworkBuild FrameworkOn-goingInvestigation

On-goingInvestigation

• Create alignment around strategy and measures• Confirmation of root-issues• Internal expertise applied in analysis• Refinement of portfolio to include:

•Key customers•Key competitors•New market areas•Technical challenges

• Gather experience on the topic• Product Marketing• Research & Development• Legal• Business Development

• Define key words and patent classes• Build a patent portfolio• Identify licensing and portfolio building opportunities

• Real time portfolio updates• Investigation into new markets • Investigation into new technologies• Investigation into new competitors• Analysis to support evolving strategy• Suggest definitive actions

Page 46: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Initiating an IP Management Process

• Accelerate assessment of IP portfolio.

• Deliver a visual representation of portfolio.

• Create alignment across the enterprise.

• Real time modeling.

• Alignment around a action.

• Executive alignment of future direction.

• Create an IP analysis process.

•Patent portfolio map with licensing opportunities and portfolio building opportunities identified.

• Patent inter-relationship map with risks and opportunities identified.

•Build a consistent approach to outlining the strategic and economic magnitude of loss/gain.

• Prioritized next steps and work plan.

Build an IP Framework

Competitive AssessmentCompetitive Assessment

Market AssessmentMarket Assessment

Opportunity

Identified

Opportunity

IdentifiedExecutive Alignment

Executive Alignment

As-is Assessment

As-is Assessment

DeliverablesObjectives

Activities

As-is Assessment• Understand current strategy.• Model current patent portfolio.• Identify potential licensing and portfolio building opportunities.• Create an IP task force.

Competitive Assessment• Identify key competitors and/or customers.• Build patent portfolio analysis for key competitors.• Create interrelationship between company and competitor.• Assess position.Market Assessment• Build portfolio for market areas.• Build portfolio for “technical challenges”. • Determine gaps w.r.t. “Ideal” strategy and operational requirements.• Understand measurements.

Opportunity Identification• Define potential alternatives.• Examine patent inter-relations and feasibility of alternatives.• Develop several market scenarios and model.• Define areas to be monitored and why.• Draft next steps and timetable.

Executive Alignment

• Educate decision makers of IP strategy principles and appropriate best practices.• Internalize case for action.• Address areas of misalignment.• Engage executives in next steps and work planning.

Page 47: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Summary

Intellectual Property Assets represent a significant, rapidly growing and relatively unmanaged corporate asset. Corporations are increasing their efforts to implement Active IP Management Need Solutions and Processes enable Companies to organize, prioritize and extract value from IP Assets Systematically engage in a Strategic IP Management Process

Page 48: January 16, 2003 Intellectual Property Strategy From Patent Portfolio to Profit Joe Hadzima, IPVision Co-Founder Senior Lecturer, MIT Sloan School of

Discussion and Questions

Questions Comments

Contact Info:Joe Hadzima

617-497-4000 x509 [email protected]

Joost Bonsen617-930-0415 [email protected]

Karl [email protected]