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CambridgeIP

Patenting flatland: Graphene
Exploitation challenges




A patent-based intelligence report
with global graphene patent dataset
February 2012


Quentin Tannock, Chairman and co-founder
Richard Duffy, Associate




                                           © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Presentation overview

 • Why graphene?
 • Patenting flatland: Graphene
    – Graphene patent trends
    – Activity in the graphene patent landscape
        • Corporations
        • Universities

    – Report & patent dataset: Exploitation challenges
    – Table of contents
 • Access our report & patent dataset
 • Appendix
    – Nanotech patenting survey
    – About Technology Profile Reports
    – About CambridgeIP
Why graphene?

    Graphene: A fast developing research-enabled
    technology space, encompassing a very extensive
    set of potential markets and applications.
    •   Graphene is the first 2D crystal discovered, with unusual electronic, optical
        and mechanical properties.
    •   Graphene is of interest across industry fields as diverse as semiconductors
        and biotechnology.
    •   Many graphene technology applications are in sectors which are notoriously
        patent and litigation intensive


    Examples of graphene applications include:
    • Faster computers: More efficient transistors based on graphene could result
       in thinner computer chips which use less energy and work faster.
    • More sensitive and robust sensors: Biotech sensor devices, environmental
       monitoring, oil & gas sensors
    • Thinner and flexible displays: Flexible and transparent electronics
    • Tougher and more conductive polymer composites: Much like multi-wall
       nanotubes (MWNT), graphene polymer composites can make polymers and
       other products, like natural rubber, stronger and electrically conductive.
Patenting flatland: Graphene - Overview


• Our report ‘Patenting flatland: Graphene – Exploitation
  challenges’ builds on research and analysis around
  university graphene patent activity, recently presented
  in Nature Materials: Tannock, Q. Exploiting carbon
  flatland, Nature Materials, Vol 11, 2-5, (2012)
    – CambridgeIP research for Nature Materials around the graphene
      patent activity and collaborations of universities has been updated
      and extended to analyse the entire graphene patent landscape and
      focus additionally on the activities of major corporations and
      leading SMEs. In addition the report considers the impact of leaders
      in the publication of non-patent literature on the patent landscape
    – The report is 70 pages long and contains 45 tables and figures
                                                                             Corporate/University R&D networks

• Our dataset ‘Graphene patents’ is an expert verified
  dataset of all graphene patents and patent applications
  globally recovered in our research – more than 2,000. All
  key patent information fields and all major jurisdictions are
  covered.


                                                                                      Patent trends over time
Graphene patenting trends

•    In the graphene patent landscape, there has been a surge in patent filings around
     the world in recent years. From around 2007, we observe a spike in the number of
     patent applications both from corporations and academic institutions.
•    The overall picture that emerges resembles that of the semiconductor and
     biotechnology industries and some early-stage technology spaces, including
     nanotechnology, which experience particularly high levels of patent activity.
•    Tannock, Q. Exploiting carbon flatland, Nature Materials, Vol 11, 2-5, (2012)

                                                                   Number of patents: Annual and cumulative
                                                                          University/Research Insitituions   SMEs   Multinational    Other
                                           900

                                           800

                                           700
                        Patents - yearly




                                           600

                                           500

                                           400

                                           300

                                           200

                                           100

                                             0
                                                 Pre-2001   2001   2002        2003      2004       2005     2006   2007      2008     2009   2010    2011

                                                                                                                                                     © 2012




                                                  Patent numbers in the past two years may be under-represented. Patent
                                                  applications may remain unpublished for up to 18 months.
Corporations in the graphene patent landscape

•    The largest corporate patent portfolios in the graphene patent
     landscape are held by Samsung and Sandisk, reflecting clear
     industrial interests in semiconductor and memory-related
     applications.
•    Key differences in corporate research and development (R&D)
     focus and commercial strategies can be inferred from corporate
     patent filings.
•    Network analysis from Tannock, Q. Exploiting carbon flatland,
     Nature Materials, Vol 11, 2-5, (2012)




       Samsung‟s graphene patent network            Sandisk‟s graphene patent network
Universities in the graphene patent landscape
•     Across all years, there is a relatively high patent contribution
      from universities and research institutes, consistent with other
      relatively early-stage and research-intensive technology spaces.
•     Table 1 highlights the most active inventors with university
      affiliations or collaborations, and shows strong track records of
      industry–university collaborations in both South Korea and the
      United States.
•     Table 1 from Tannock, Q. Exploiting carbon flatland, Nature
      Materials, Vol 11, 2-5, (2012)
     Nr Name                Nr of   Organisational affiliations in inventor's                                 Example         Example patent title
                            patents Graphene patents                                                          patent
                                                                                                              number
                                     Kumoh National Institute of Technology, Samsung, Sungkyunkwan            US20110127497
     1    Jae-young Choi       62                                                                                             Organic Light Emitting Device Using Graphene
                                     University                                                               A1
                                                                                                                              Method For Exfoliating Carbonization Catalyst From Graphene Sheet,
                                                                                                              US20090308520   Method For Transferring Graphene Sheet From Which Carbonization
     2    Hyeon-jin Shin       43    Samsung, Sungkyunkwan University
                                                                                                              A1              Catalyst Is Exfoliated To Device, Graphene Sheet And Device Using The
                                                                                                                              Graphene Sheet
                                                                                                              US20090071533   Transparent Electrode Comprising Graphene Sheet, And Display And
     3    Seon-mi Yoon         39    Samsung, Sungkyunkwan University
                                                                                                              A1              Solar Cell Including The Electrode
                                     Battelle Memorial Institute, Princeton University, Vorbeck Materials     US20100096595
     4    Ilhan A. Aksay       35                                                                                             Functional graphene-polymer nanocomposites for gas barrier applications
                                     Corporation                                                              A1
          Hyun-jong                                                                                           US20110089995
     5                         34    Samsung, Seoul National University, Sungkyunkwan University                              Graphene device and method of manufacturing the same
          Chung                                                                                               A1
                                     Samsung, Seoul National University, Sungkyunkwan University, The         US20110108521
     6    Sun-ae Seo           33                                                                                             Methods Of Manufacturing And Transferring Larger Sized Graphene
                                     Leland Stanford Junior University                                        A1
                                                                                                                              Graphene Roll To Roll Coating Apparatus And Graphene Roll To Roll
     7    Byung Hee Hong       28    Samsung, Sungkyunkwan University                                         US20110195207
                                                                                                                              Coating Method Using The Same for Graphene
     8    Yun-sung Woo         21    Samsung, Seoul National University, Sungkyunkwan University              US20110108609   Methods Of Fabricating Graphene Using Alloy Catalyst
          Robert K                                                                                            US20110042813
     8                         21    Princeton University, Vorbeck Materials Corporation                                      Printed Electronics
          Prudhomme                                                                                           A1
                                     Graphene Energy Inc., Northwestern University, Texas Instruments Inc.,   WO2008143829
     9    Rodney S. Ruoff      20                                                                                             Graphene Oxide Sheet Laminate and Method
                                     University of Texas                                                      A2
     9    James M. Tour        20    University of Texas, William Marsh Rice University                       US20110059871   Graphene Compositions and Drilling Fluids Derived Therefrom
                                                                                                                              Coatings Containing Functionalized Graphene Sheets and Articles Coated
     10   John S. Lettow       18    Princeton University, Vorbeck Materials Corporation                      US20110049437
                                                                                                                              Therewith
Technology Profile Reports: Overview

                            • CambridgeIP brings its significant experience in building
                              patent-based technology intelligence with leading
Patent trends over time
                              technologists and investors to create Technology Profile
                              Reports.
                            • CambridgeIP‟s patent-based approach provides a
                              different perspective to understanding investment in
Patents are inter-related
                              R&D, geographical distribution and size of markets,
                              market value chains, how a technology area is evolving
                              and what are the fundamental drivers of its long-term
                              performance.
                            • Our analysis helps readers identify and assess those
                              technologies where commercial value is concentrated.
 Corporate/University         Patents cost money and significant organisational
 R&D networks
                              resources to secure and maintain. Patents can provide
                              a useful indication of those technologies that patent
                              holders are prepared to spend money to protect.
Patenting flatland: Graphene – In our report

• Graphene: Key enablers and barriers
• Most important graphene patents
   – Top cited patents
   – Largest patent families
• Graphene manufacturing techniques
• Timeline highlighting key events in the graphene
  patent landscape
• Geographical analysis of patent activity
• Technology component analysis of patent portfolios
• Patent activity and company profiles of leading small and medium sized
  enterprises (SMEs) in the graphene space
• Identification of leading major corporations in graphene by number of
  patents filed, with example patents
• What to watch for in the graphene patent landscape
• Conclusions and recommendations for investors, researchers and
  policymakers
Patenting flatland: Graphene – Table of Contents
                                            Table of Contents
                                            About CambridgeIP and Technology Profile Reports .......................................................................................................... 0
                                                Other CambridgeIP Reports .......................................................................................................................................... 1
                                                Acknowledgements ....................................................................................................................................................... 1
                                            Patent-based Intelligence ................................................................................................................................................... 2
                                            Executive Summary ........................................................................................................................................................... 5
                                            Table of Contents ............................................................................................................................................................... 7
                                            Why Graphene? ................................................................................................................................................................. 9
                                            Graphene History and Context ......................................................................................................................................... 12
                                                Graphene, a Nanomaterial .......................................................................................................................................... 13
                                            Graphene Technology ...................................................................................................................................................... 15
                                            Patents in the Graphene flatland ...................................................................................................................................... 18
                                                Who owns the graphene flatland? ............................................................................................................................... 22
                                                Universities and Research Institutes ............................................................................................................................ 26
                                                Sungkyunkwan University............................................................................................................................................ 30
                                                Rice University ............................................................................................................................................................ 31
                                                Manchester University ................................................................................................................................................. 32
                                                Multinational corporations ............................................................................................................................................ 34
                                                Samsung‟s graphene patent network........................................................................................................................... 36
                                                Sandisk 3D‟s graphene patent network ....................................................................................................................... 38
                                                SMEs .......................................................................................................................................................................... 38
                                                Company profile: Vorbeck Materials Corp.................................................................................................................... 40
                                                Company Profile: Nanotek Instruments Inc. ................................................................................................................. 41
                                                Company Profile: Graphene Industries ........................................................................................................................ 42
                                                Collaborations and licensing relationships ................................................................................................................... 43
                                                Key inventors .............................................................................................................................................................. 43
                                                Geography of patent filings: Graphene ........................................................................................................................ 44
                                                Most frequently cited US patents ................................................................................................................................. 45
                                                Patent families ............................................................................................................................................................. 46
                                                Patent portfolio composition by technologies ............................................................................................................... 48
                                                Most recently filed patents ........................................................................................................................................... 49
                                                Patent trend conclusions ............................................................................................................................................. 52
                                            Recommendations and Conclusions ................................................................................................................................ 53
                                                Key developments to watch for .................................................................................................................................... 55
                                            About CambridgeIP .......................................................................................................................................................... 56
                                                CambridgeIP Executives ............................................................................................................................................. 57
                                                CambridgeIP Products and Services ........................................................................................................................... 58
                                            Appendix 1: Additional analysis of the graphene patent landscape ................................................................................... 59
                                            Appendix 2: Methodology & Detailed Patent Information .................................................................................................. 63
                                                Methodology................................................................................................................................................................ 63
                                                Patent family explanation and context ......................................................................................................................... 65
                                                Patent IPC Codes........................................................................................................................................................ 66
                                            Disclaimer and Registered Company Information ............................................................................................................. 68




 To read a report overview & table of contents in more details please visit us at
 http://www.boliven.com/boliven_landscapes/patenting_flatland_graphene
Patenting flatland: Graphene – Access

Access the full report and full dataset here:
• http://www.boliven.com/boliven_landscapes/
  patenting_flatland_graphene

Pricing
• Report                              $ 495
• Dataset                             $ 1,500
• Report and dataset                  $ 1,895
   – Save $100
   – Academic discount available, contact us for
     details at info@cambridgeip.com.
Contact us

 Feel free to discuss your specific technology intelligence requirements with us

 Visit CambridgeIP‟s www.boliven.com for free patent searches

 For a series of nanotech patent landscapes
  www.boliven.com/landscapes

       Quentin Tannock                       Ilian Iliev
       (Chairman and Founder)                T
                                             (CEO and Founder)
       Quentin.tannock@cambridgeip.com       ilian.iliev@cambridgeip.com
       GSM +44 -077-862-10305                GSM: +44-077-863-73965
       Tel: +44-1223 778 846                 Tel: +44-1223 778 846


       Corporate office                      Internet resources
                                             Website: www.cambridgeip.com
       Cambridge Intellectual Property Ltd              www.boliven.com
       8a Kings Parade, Cambridge            Blog:      www.cambridgeip.com/blog
       CB2 1SJ, United Kingdom
       UK: +44 (0) 1223 777 846              Sign up for our free newsletter
       Fax: +44 (0) 20 3357 3105             on our home page


  12
                                                   © 2011 Cambridge Intellectual Property Ltd. All rights reserved
Take the survey: IP issues facing the nanotech community


  • Our nanotech survey is ongoing and aims
    to identify the key intellectual property
    issues facing the nanotechnology
    community today.
  • There is an option at the end of the survey
    to receive a summary of the survey
    results.
  Take the survey:
    www.cambridgeip.com/index.php/knowled
    ge-centre/nanotech-survey
Contact us

 Feel free to discuss your specific technology intelligence requirements with us

 Visit CambridgeIP‟s www.boliven.com for free patent searches

 For a series of nanotech patent landscapes
  www.boliven.com/landscapes

       Quentin Tannock                       Ilian Iliev
       (Chairman and Founder)                (CEO and Founder)
       Quentin.tannock@cambridgeip.com       ilian.iliev@cambridgeip.com
       GSM +44 -077-862-10305                GSM: +44-077-863-73965
       Tel: +44-1223 778 846                 Tel: +44-1223 778 846


       Corporate office                      Internet resources
                                             Website: www.cambridgeip.com
       Cambridge Intellectual Property Ltd              www.boliven.com
       8a Kings Parade, Cambridge            Blog:      www.cambridgeip.com/blog
       CB2 1SJ, United Kingdom
       UK: +44 (0) 1223 777 846              Sign up for our free newsletter
       Fax: +44 (0) 20 3357 3105             on our home page


  14
                                                   © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Appendix Outline

• Appendix: CambridgeIP background & contacts
  • Nanotech Case Studies: Examples of past work
  • CambridgeIP snapshot
  • CambridgeIP experience
  • CambridgeIP team
  • Contacts




  15
                            © 2012 Cambridge Intellectual Property Ltd. All rights reserved
CS 1: Rapid mapping of large nanotech spaces - UK
nanotechnology patent audit
    Client profile
    Senior executives from a publically funded organisation approached CambridgeIP for assistance in mapping a broad section of the UK
    nanotechnology space

    Business situation
•   A key driver was the need to inform our clients‟ strategy in this complex and patent intensive space
• Our remit was to assist client executives develop a clear understanding of the existing landscape, identify areas of relative strength &
  weakness and existing R&D collaborations, analyse trends and provide statistical information & benchmarking data for use in business
  planning and stakeholder reports

    Our approach

• Working with CambridgeIP and senior industry experts we developed and implemented a complex patent search strategy
• Results were analysed using our proprietary tools and methods and a focus area for deep analysis was identified
• A workshop was conducted for client executives with our internal experts, assisting interpretation and dissemination of findings


    Results and benefits




• Identification of fundamental technologies and key actors
                                                                                 • Insights into corporate R&D collaborations - identiifying key players in the
• Identification of areas of strength together with technologies applicable to     patent space, together with their overlapping relationships
  multiple sectors of application for future focus by our client
                                                                                 • Independent and fact-based assessments of the client organisations impact
• Understanding of recent M&A activity with significant impacts on the             on UK IP assets, valuable in stakeholder reporting
  ownership of the UK‟s nanotechnology IP assets
       16
                                                                                           © 2012 Cambridge Intellectual Property Ltd. All rights reserved
CS 2: University spin-off, competitor strategy analysis
using patent-based Intelligence
  Client profile
   A top UK University spin-out approached us for an IP Landscape report.

  Business situation

 • The client was backed by a major UK government funding organisation.
 • The CEO of the company required deep intelligence about industry incumbents‟ R&D strategy.
 • The client also needed independent analysis of the industry‟s patent landscape for use in technology licensing negotiations and
   structuring a strategic partnership.
   Our approach                                                                      Results and benefits

 • Working with the client‟s senior technical and business                        • The resulting patent-based intelligence was used in
   representatives we defined the client‟s technology and market                    negotiations by our client.
   spaces                                                                         • The client felt that the findings on competitors‟ patenting
 • We identified two technology focus areas of critical                             activity helped secure a go-ahead for a joint venture with a
   importance to the client‟s technology with the client and                        major industry player: “The strategic partner‟s reaction to the
   performed an IP Landscape report these two areas                                 report‟s findings was startling: immediately inviting us to their
                                                                                    HQ to meet with their Head of Development to finalize an
                                                                                    agreement towards jointly developing a product.”
                                                                                  • The report has also been used by the client when applying for
                                                                                    participation Framework 7 programs, by demonstrating the
                                                                                    client‟s deep knowledge of the industry‟s patenting trends.
 Competitor Analysis of Technology Focus in Client's Field
  Assignee   Rank by # of      Total #       Year of    Total Patents    Portfolio     5 Year
   Name       Patents in     Patents in    entry into    in Overall     Proportion   Growth of     The example shows how patent data can be
             Client Tech.   Client Tech.    the field     Industry       of Tech.     in Focus     used to analyse the R&D strategy of
                Space          Space                                      Space         Field
                                                                                                   competitors, and to develop licensing strategy.
 Company 1       1              37           1993          6,576          1.6%        48.6%        The findings suggest that Company 7 is
 Company 2       2              25           1998            33          100.0%       56.0%        aggressively expanding into the client‟s field: it
 Company 3       3              19           1997          2,007          7.1%        15.8%
                                                                                                   has the highest growth rate of patenting
 Company 4       4              16           1992          1,646          2.1%        62.5%
                                                                                                   activity. In turn Company 2 is most dependent
 Company 5       5              14           1999           840           7.2%        92.9%
 Company 6       6              11           1995          8,838          4.1%        63.6%
                                                                                                   on this field for its strategic success: 100% of
 Company 7       15             6            2003           400           1.8%        100.0%       its patents are in the field of focus.
                                                                                          © 2012 Cambridge Intellectual Property Ltd. All rights reserved
CS 3: IP Landscape® - nano-sensor devices
 Client profile
  A medium sized VC funded company delivering nano-enabled sensing solutions to the defense and homeland security sectors approached
  CambridgeIP for assistance updating their IP portfolio and developing an up-to-date patent landscape

 Business situation
 • Sophisticated and well-advised client with good understanding of its IP space and competitors, holding a relatively large patent portfolio.
 • Key drivers were to improve understanding of adjacent IP spaces, increase efficiency and structure in IP intelligence gathering activities,
   inform investor communications
  Our approach
 • We audited the client‟s patent holdings, developing indexed and cross-referenced patent databases; We defined the client‟s space and
   identified adjacent spaces, undertaking IP Landscape and benchmarking analysis against the client‟s existing portfolio. Business
   intelligence and key statistics were extracted using the RedEyeTM suite of tools.
 Results and benefits
                                                                          • Identified technology migration opportunities & threats from
                                                                            adjacent technology spaces
                                                                          • Demonstrated client‟s dominance of aspects of its IP Landscape
                                                                          • The client used our independent findings and analysis in
                                                                            presentations to VC investors, as part of a successful Series C
                                                                            funding round.




 • Identified existing, known, players and new entrants to the client‟s
   core IP space – including newly active academic institutes and
   corporations
 • Improved organisation of the client‟s existing portfolio, laying a
   foundation for future portfolio management
 • Identified portfolio gaps for our client to plug and areas for
   consideration in future patent filings

      18
                                                                                  © 2012 Cambridge Intellectual Property Ltd. All rights reserved
CS 4: Accelerate licensing strategy development –
early stage surgical materials technology
  Client profile
   A leading UK University asked us to help identify market opportunities for an early stage surgical materials development


   Business situation

 • Previous market research had not resulted in uptake of the technology by corporate prospects
 • A go / stop decision point was imminent as international PCT roll-out of an initial patent application approached

   Our approach                                                            Results and benefits

                                                                       • 20+ organisations were identified, were categorised by type and
                                                                         arranged in order of priority for approach by our client
                                                                       • Marketing objectives and recommendations were made in relation to
                                                                         each organisation type
                                                                       • Key geographical markets containing high profile licensing prospects
                                                                         were identified for addition to PCT designated states lists
                                                                       • Information on similar approaches, including diagrams, were provided
 • We defined the technology space and implemented a multi-layer         to client academic experts in a convenient format
   search strategy that aimed at identifying
          • licensing candidates
          • potential collaboration partners
          • key markets & applications
          • critical geographical areas
          • Information useful to marketing the technology
 • Results and recommendations were presented to the client in a
   PowerPoint summary report, and cross-referenced Excel dataset
 • A workshop with the client's TTO representatives and client‟s
   academic experts aids understanding and dissemination of results
   and recommendations


     19
                                                                                 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Appendix Outline

• Appendix: CambridgeIP background & contacts
  • Nanotech Case Studies: Examples of past work
  • CambridgeIP snapshot
  • CambridgeIP experience
  • CambridgeIP team
  • Contacts




  20
                            © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Our offerings
IP Landscape®             Open innovation          Technology               Technology
                                                   mapping                  market survey

Expert built patent       Identify technology      Pinpoint emerging        Identify market –         Knowledge transfer
datasets focused on       ownership in complex     technology patterns      technology niches in      portal
your technology           spaces                   & hotspots               rapidly developing        Access over 100
                                                                            markets                   million scientific
Identify prior art in a   Shortlist acquisition    Understand                                         documents, including
technology space          opportunities            technology value         Inform in-house R&D       the latest patents
                                                   chains                   strategy
Uncover inventor &        Identify overlaps with                                                      Conduct technology
collaborator networks     your own technology      Identify technology      Influence public          literature searches
                          portfolio                market &                 sector innovation
Clarify strengths &                                commercialisation        support strategies        Perform high-level
weaknesses of patent      Conduct due              scenarios                                          analytics on patent
portfolios                diligence on external                                                       data
                          partners                 Locate prospective       Prioritise key market
Confirm freedom to                                 partners, acquisitions   segments and identify     Collaborative patent
operate & technology      Identify open            and clients              strategic partners &      landscaping with
white space analyses      innovation                                        collaboration             your colleagues
                          opportunities in your    Information on           opportunities
Support investment        own and others‟ IP       partner/acquisition                                Boliven Landscapes
due diligence and         portfolios               candidates operating     Identify in what areas    Access valuable
preparation for fund                               in your area of          you need to build an      patent datasets
raising                   CxO compatible           interest                 IP Landscape              combined with
                          materials, workshops                                                        industry expert
Understand market         and seminars                                                                analyses
trends

    21
                                                            ©2012 Cambridge Intellectual Property Ltd. All rights reserved
CambridgeIP‟s technology and knowledge platforms

CambridgeIP‟s offerings are based on a combination of:
•      Proprietary software and workflow platforms tested through more than 140 real life projects
•      A 100 million document database of patent and non-patent literature
•      Quality assurance and report standards that ensure consistency in the outputs for our clients
•      The Boliven.com online platform of technology literature search and analytics with 8,000+
       registered users and 30,000+ unique visitors per month


                                                                 RedEye: our software analytics and workflow platform
    Boliven.com: a leading portal for R&D and IP professionals




        22
                                                                     © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Appendix Outline

• Appendix: CambridgeIP background & contacts
  • Nanotech Case Studies: Examples of past work
  • CambridgeIP snapshot
  • CambridgeIP experience
  • CambridgeIP team
  • Contacts




  23
                            © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Our clients

We have delivered more than 100 projects with leading
organisations: including major corporations, research institutes,
service providers, high-tech SMEs and investors

 Selected clients:

               … and
               other
               leading big
               pharma




   24
                                            © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Thought leadership

Selected publications:
CambridgeIP is a recognised thought leader in the technology intelligence
space. Our research has been covered by the Harvard Business Review,
Financial Times, Nature Publishing Group and other leading media. Our
collaborations include Chatham House, University of Sussex and Cambridge
University’s Judge Business School.




  25
       ©2012 Cambridge Intellectual Property Ltd. All rights reserved
Health and life sciences
            Medical devices                                  Pharmaceutical     OTC drugs
            Auto-injectors                                   formulations       Analgesics
            Inhalers                                         Excipients         Anti-microbial
            Endoscopy                                        Carriers           Anti- fungal
            Ultrasound                                       Liposomes
            Wound healing                                    Propellants        Vaccines
            e-Health                                         Nanoparticles      Dendritic cell
                                                             Capsules           Recombinant vector T-
            Diagnostics                                                         cell receptor peptide
            Telehealth                                                          vaccines
                                                             Manufacturing      DNA vaccination
            Blood glucose
            Heart rate                                       processes
            Blood pressure                                   Spray drying       Gene therapy
            Biomarkers                                       Freeze drying      Silencing
                                                             Jet milling        Tissue targeting
                                                             Filling
            Active                                           Packaging
            pharmaceutical                                                      Regenerative
            ingredients                                      Generics           medicine
            Biopharmaceuticals                                                  Cell therapy
                                                             Bio-similars
            Tissue targeting                                                    iPSC
                                                             Re-formulation
            Drug conjugation                                                    Tissue engineering
                                                             Patents expiries
            New chemical entities                                               Cell-based vaccines


 26
      ©2012 Cambridge Intellectual Property Ltd. All rights reserved
Clean tech and energy
            Wind energy                                     Fuel cells       Nano devices
            systems                                                          & materials



            Biomass                                         Advanced         Geothermal
                                                            refrigeration    energy
                                                                             Systems

            Photovoltaic &                                  Clean coal
                                                                             Refineries,
            component                                       carbon capture
                                                                             power gen,
            technologies                                    CO2-EOR
                                                                             co-gen.

            Concentrated                                    Marine           Desalination
            solar & other                                   transport        and water
            energy storage                                                   sanitation
            systems
                                                            Smart grid

 27
      ©2012 Cambridge Intellectual Property Ltd. All rights reserved
Telecommunications and electronics
               Wireless authentication                                 Geographical systems
               Physical/Remote access control                          GIS measurements
               Merchant/Purchasing                                     Satellite navigation/GPS
               Digital credentials

               Clean tech                                              Telecoms standards
               Smart grid                                              ETSI
               Smart meters                                            Continua alliance
               Transport management                                    RFID
               Distributed sensor systems                              Blue tooth
               Energy harvesting                                       Near field communication
                                                                       Radio frequency identification
               Internet & data handling
               Search                                                  Hardware
               Cloud computing                                         Card readers
               Data fusion                                             Routers
               Database replication                                    Mems
                                                                       Flexible displays
                                                                       Contactless card
               Mobile devices/applications
                                                                       Satellite communications
               E-reader
               Mobile search
               Application software                                    e-Health
               Media convergence                                       Remote diagnostics
               3G/4G/WiFi                                              Device access control
 28
      ©2012 Cambridge Intellectual Property Ltd. All rights reserved
Nanotechnology
                 Nanomaterials                                        Tissue engineering
                 CNT                                                  Nano-materials
                 Graphene                                             Nano-fibers
                 Nanoparticles                                        Scaffolds


                 Nanobiotechnology                                    Nanoparticles
                 Bio-compatible nanoparticles                         Colloidal gold
                 DNA nanotechnology                                   Iron nanoparticles
                 Nanospheres                                          Nanostructures
                 Nanoformulations                                     Platinum nanoparticles
                                                                      Quantum dots
                                                                      Silver nanoparticles
                 Carbon nanotubes
                 CNT, SWNT, DWNT, MWNT
                 Functionalization                                    Industrial fields
                 Production                                           Advanced materials
                 Purification                                         Automotive, Aerospace
                                                                      Electronics
                                                                      Paints & Coatings
                 Nanotoxicity
                 Nanotubes
                 Nanospheres
                                                                      Environmental
                 Nanoparticles                                        applications
                 Risk assessment technologies                         Construction materials
                                                                      Energy storage, generation and
                                                                      transmission
29                                                                    Water purification
     ©2012 Cambridge Intellectual Property Ltd. All rights reserved
Appendix Outline

• Appendix: CambridgeIP background & contacts
  • Nanotech Case Studies: Examples of past work
  • CambridgeIP snapshot
  • CambridgeIP experience
  • CambridgeIP team
  • Contacts




  30
                            © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Selected team members




  Quentin Tannock        Ilian Iliev     Dr Robert Brady             Mark Meyer             Ralph Poole        Vladimir Yossifov
Chairman & co-founder CEO & co-founder   Non-Exec Director      Business Development          Boston         Geneva Representative
                                                                      Manager              Representative
                                                                    North America




                     Arthur Lallement    Helena van der Merwe       Sarah Helm           Yanjun Zhao
                     Senior Associate      Senior Associate       Senior Associate      Senior Associate




      31
                                                                         © 2012 Cambridge Intellectual Property Ltd. All rights reserved
Key team members 1
       Quentin Tannock (Chairman & co-founder)
          Quentin leads our work in Nanotechnology, Materials, Health and Investment strategy. He has
           managed IP Landscape, IP Strategy and M&A and investment strategy projects for multinational
           corporations, investment groups and leading universities. His IP strategy related work has been
           covered in Bloomberg, Nature Publishing Group, The Wall Street Journal and elsewhere.
          Prior experience: founder of a successful company in the chemical sector; law lecturer; facilitated
           major R&D collaborations at Cambridge University (Electronics, Photonics & Nanotechnology);
           member of Lambert working group tasked by government to draft model contracts for industry-
           university collaborations; IP analysis & strategic advice to nanotechnology venture capitalists;
           assisting Cambridge University Institute of Biotechnology start-ups (bio-nano diagnostic devices)
           with commercial and fundraising strategies
          Education: Law, (Roman-Dutch, Common Law, International Law in Cambridge & elsewhere)

       Ilian Iliev (CEO & co-founder)
            Ilian leads our work in Energy & CleanTech and Telecoms areas. Ilian has published widely and
             has lead IP Landscape and IP Strategy projects for the full range of participants in high-
             technology sectors. He has assisted multi-national corporations and SMEs with their industrial
             partnering and fund-raising strategies.
            Prior experience: strategy & innovation advisory work for a Magic Circle law firm; award-winning
             biotech start-up in Cambridge; policy advice; 1990s: founded and ran a 100+ employee business
             in the electrical industry in Southern Africa
            Education: Economics and Management; Ccmpleting a PhD on „Innovation Finance‟ at the Judge
             Business School, Cambridge University

       Dr Robert Brady (non-Exec. Director)
          Prior experience: Founder of Brady plc a leading supplier of transaction and risk management
           software solutions to companies and banks operating in the metals and minerals, energy and
           'soft' commodity sectors. Dr Brady acts as an active mentor and advisor for several growth
           companies, specializing in information technology and services. He is the current treasurer of
           Cambridge Angels investment group.
          Education: fellow at Trinity College, Cambridge, where he specialized in the field of physics.
  32
                                                              © 2012 Cambridge Intellectual Property Ltd. All rights reserved
…and finally…

 Feel free to discuss your specific technology intelligence requirements with Quentin
 or Ilian

 Visit CambridgeIP‟s www.boliven.com for free patent searches

                                             Thank you !

       Quentin Tannock                           Ilian Iliev
       (Chairman and Founder)                    (CEO and Founder)
       Quentin.tannock@cambridgeip.com           ilian.iliev@cambridgeip.com
       GSM +44 -077-862-10305                    GSM: +44-077-863-73965
       Tel: +44-1223 778 846                     Tel: +44-1223 778 846


       Corporate office                          Internet resources
                                                 Website: www.cambridgeip.com
       Cambridge Intellectual Property Ltd                  www.boliven.com
       8a Kings Parade, Cambridge                Blog:      www.cambridgeip.com/blog
       CB2 1SJ, United Kingdom
       UK: +44 (0) 1223 777 846                  Sign up for our free newsletter
       Fax: +44 (0) 20 3357 3105                 on our home page


  33
                                                       © 2011 Cambridge Intellectual Property Ltd. All rights reserved

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Patenting flatland: Graphene - Exploitation Challenges

  • 1. CambridgeIP Patenting flatland: Graphene Exploitation challenges A patent-based intelligence report with global graphene patent dataset February 2012 Quentin Tannock, Chairman and co-founder Richard Duffy, Associate © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 2. Presentation overview • Why graphene? • Patenting flatland: Graphene – Graphene patent trends – Activity in the graphene patent landscape • Corporations • Universities – Report & patent dataset: Exploitation challenges – Table of contents • Access our report & patent dataset • Appendix – Nanotech patenting survey – About Technology Profile Reports – About CambridgeIP
  • 3. Why graphene? Graphene: A fast developing research-enabled technology space, encompassing a very extensive set of potential markets and applications. • Graphene is the first 2D crystal discovered, with unusual electronic, optical and mechanical properties. • Graphene is of interest across industry fields as diverse as semiconductors and biotechnology. • Many graphene technology applications are in sectors which are notoriously patent and litigation intensive Examples of graphene applications include: • Faster computers: More efficient transistors based on graphene could result in thinner computer chips which use less energy and work faster. • More sensitive and robust sensors: Biotech sensor devices, environmental monitoring, oil & gas sensors • Thinner and flexible displays: Flexible and transparent electronics • Tougher and more conductive polymer composites: Much like multi-wall nanotubes (MWNT), graphene polymer composites can make polymers and other products, like natural rubber, stronger and electrically conductive.
  • 4. Patenting flatland: Graphene - Overview • Our report ‘Patenting flatland: Graphene – Exploitation challenges’ builds on research and analysis around university graphene patent activity, recently presented in Nature Materials: Tannock, Q. Exploiting carbon flatland, Nature Materials, Vol 11, 2-5, (2012) – CambridgeIP research for Nature Materials around the graphene patent activity and collaborations of universities has been updated and extended to analyse the entire graphene patent landscape and focus additionally on the activities of major corporations and leading SMEs. In addition the report considers the impact of leaders in the publication of non-patent literature on the patent landscape – The report is 70 pages long and contains 45 tables and figures Corporate/University R&D networks • Our dataset ‘Graphene patents’ is an expert verified dataset of all graphene patents and patent applications globally recovered in our research – more than 2,000. All key patent information fields and all major jurisdictions are covered. Patent trends over time
  • 5. Graphene patenting trends • In the graphene patent landscape, there has been a surge in patent filings around the world in recent years. From around 2007, we observe a spike in the number of patent applications both from corporations and academic institutions. • The overall picture that emerges resembles that of the semiconductor and biotechnology industries and some early-stage technology spaces, including nanotechnology, which experience particularly high levels of patent activity. • Tannock, Q. Exploiting carbon flatland, Nature Materials, Vol 11, 2-5, (2012) Number of patents: Annual and cumulative University/Research Insitituions SMEs Multinational Other 900 800 700 Patents - yearly 600 500 400 300 200 100 0 Pre-2001 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 © 2012 Patent numbers in the past two years may be under-represented. Patent applications may remain unpublished for up to 18 months.
  • 6. Corporations in the graphene patent landscape • The largest corporate patent portfolios in the graphene patent landscape are held by Samsung and Sandisk, reflecting clear industrial interests in semiconductor and memory-related applications. • Key differences in corporate research and development (R&D) focus and commercial strategies can be inferred from corporate patent filings. • Network analysis from Tannock, Q. Exploiting carbon flatland, Nature Materials, Vol 11, 2-5, (2012) Samsung‟s graphene patent network Sandisk‟s graphene patent network
  • 7. Universities in the graphene patent landscape • Across all years, there is a relatively high patent contribution from universities and research institutes, consistent with other relatively early-stage and research-intensive technology spaces. • Table 1 highlights the most active inventors with university affiliations or collaborations, and shows strong track records of industry–university collaborations in both South Korea and the United States. • Table 1 from Tannock, Q. Exploiting carbon flatland, Nature Materials, Vol 11, 2-5, (2012) Nr Name Nr of Organisational affiliations in inventor's Example Example patent title patents Graphene patents patent number Kumoh National Institute of Technology, Samsung, Sungkyunkwan US20110127497 1 Jae-young Choi 62 Organic Light Emitting Device Using Graphene University A1 Method For Exfoliating Carbonization Catalyst From Graphene Sheet, US20090308520 Method For Transferring Graphene Sheet From Which Carbonization 2 Hyeon-jin Shin 43 Samsung, Sungkyunkwan University A1 Catalyst Is Exfoliated To Device, Graphene Sheet And Device Using The Graphene Sheet US20090071533 Transparent Electrode Comprising Graphene Sheet, And Display And 3 Seon-mi Yoon 39 Samsung, Sungkyunkwan University A1 Solar Cell Including The Electrode Battelle Memorial Institute, Princeton University, Vorbeck Materials US20100096595 4 Ilhan A. Aksay 35 Functional graphene-polymer nanocomposites for gas barrier applications Corporation A1 Hyun-jong US20110089995 5 34 Samsung, Seoul National University, Sungkyunkwan University Graphene device and method of manufacturing the same Chung A1 Samsung, Seoul National University, Sungkyunkwan University, The US20110108521 6 Sun-ae Seo 33 Methods Of Manufacturing And Transferring Larger Sized Graphene Leland Stanford Junior University A1 Graphene Roll To Roll Coating Apparatus And Graphene Roll To Roll 7 Byung Hee Hong 28 Samsung, Sungkyunkwan University US20110195207 Coating Method Using The Same for Graphene 8 Yun-sung Woo 21 Samsung, Seoul National University, Sungkyunkwan University US20110108609 Methods Of Fabricating Graphene Using Alloy Catalyst Robert K US20110042813 8 21 Princeton University, Vorbeck Materials Corporation Printed Electronics Prudhomme A1 Graphene Energy Inc., Northwestern University, Texas Instruments Inc., WO2008143829 9 Rodney S. Ruoff 20 Graphene Oxide Sheet Laminate and Method University of Texas A2 9 James M. Tour 20 University of Texas, William Marsh Rice University US20110059871 Graphene Compositions and Drilling Fluids Derived Therefrom Coatings Containing Functionalized Graphene Sheets and Articles Coated 10 John S. Lettow 18 Princeton University, Vorbeck Materials Corporation US20110049437 Therewith
  • 8. Technology Profile Reports: Overview • CambridgeIP brings its significant experience in building patent-based technology intelligence with leading Patent trends over time technologists and investors to create Technology Profile Reports. • CambridgeIP‟s patent-based approach provides a different perspective to understanding investment in Patents are inter-related R&D, geographical distribution and size of markets, market value chains, how a technology area is evolving and what are the fundamental drivers of its long-term performance. • Our analysis helps readers identify and assess those technologies where commercial value is concentrated. Corporate/University Patents cost money and significant organisational R&D networks resources to secure and maintain. Patents can provide a useful indication of those technologies that patent holders are prepared to spend money to protect.
  • 9. Patenting flatland: Graphene – In our report • Graphene: Key enablers and barriers • Most important graphene patents – Top cited patents – Largest patent families • Graphene manufacturing techniques • Timeline highlighting key events in the graphene patent landscape • Geographical analysis of patent activity • Technology component analysis of patent portfolios • Patent activity and company profiles of leading small and medium sized enterprises (SMEs) in the graphene space • Identification of leading major corporations in graphene by number of patents filed, with example patents • What to watch for in the graphene patent landscape • Conclusions and recommendations for investors, researchers and policymakers
  • 10. Patenting flatland: Graphene – Table of Contents Table of Contents About CambridgeIP and Technology Profile Reports .......................................................................................................... 0 Other CambridgeIP Reports .......................................................................................................................................... 1 Acknowledgements ....................................................................................................................................................... 1 Patent-based Intelligence ................................................................................................................................................... 2 Executive Summary ........................................................................................................................................................... 5 Table of Contents ............................................................................................................................................................... 7 Why Graphene? ................................................................................................................................................................. 9 Graphene History and Context ......................................................................................................................................... 12 Graphene, a Nanomaterial .......................................................................................................................................... 13 Graphene Technology ...................................................................................................................................................... 15 Patents in the Graphene flatland ...................................................................................................................................... 18 Who owns the graphene flatland? ............................................................................................................................... 22 Universities and Research Institutes ............................................................................................................................ 26 Sungkyunkwan University............................................................................................................................................ 30 Rice University ............................................................................................................................................................ 31 Manchester University ................................................................................................................................................. 32 Multinational corporations ............................................................................................................................................ 34 Samsung‟s graphene patent network........................................................................................................................... 36 Sandisk 3D‟s graphene patent network ....................................................................................................................... 38 SMEs .......................................................................................................................................................................... 38 Company profile: Vorbeck Materials Corp.................................................................................................................... 40 Company Profile: Nanotek Instruments Inc. ................................................................................................................. 41 Company Profile: Graphene Industries ........................................................................................................................ 42 Collaborations and licensing relationships ................................................................................................................... 43 Key inventors .............................................................................................................................................................. 43 Geography of patent filings: Graphene ........................................................................................................................ 44 Most frequently cited US patents ................................................................................................................................. 45 Patent families ............................................................................................................................................................. 46 Patent portfolio composition by technologies ............................................................................................................... 48 Most recently filed patents ........................................................................................................................................... 49 Patent trend conclusions ............................................................................................................................................. 52 Recommendations and Conclusions ................................................................................................................................ 53 Key developments to watch for .................................................................................................................................... 55 About CambridgeIP .......................................................................................................................................................... 56 CambridgeIP Executives ............................................................................................................................................. 57 CambridgeIP Products and Services ........................................................................................................................... 58 Appendix 1: Additional analysis of the graphene patent landscape ................................................................................... 59 Appendix 2: Methodology & Detailed Patent Information .................................................................................................. 63 Methodology................................................................................................................................................................ 63 Patent family explanation and context ......................................................................................................................... 65 Patent IPC Codes........................................................................................................................................................ 66 Disclaimer and Registered Company Information ............................................................................................................. 68 To read a report overview & table of contents in more details please visit us at http://www.boliven.com/boliven_landscapes/patenting_flatland_graphene
  • 11. Patenting flatland: Graphene – Access Access the full report and full dataset here: • http://www.boliven.com/boliven_landscapes/ patenting_flatland_graphene Pricing • Report $ 495 • Dataset $ 1,500 • Report and dataset $ 1,895 – Save $100 – Academic discount available, contact us for details at info@cambridgeip.com.
  • 12. Contact us Feel free to discuss your specific technology intelligence requirements with us Visit CambridgeIP‟s www.boliven.com for free patent searches For a series of nanotech patent landscapes  www.boliven.com/landscapes Quentin Tannock Ilian Iliev (Chairman and Founder) T (CEO and Founder) Quentin.tannock@cambridgeip.com ilian.iliev@cambridgeip.com GSM +44 -077-862-10305 GSM: +44-077-863-73965 Tel: +44-1223 778 846 Tel: +44-1223 778 846 Corporate office Internet resources Website: www.cambridgeip.com Cambridge Intellectual Property Ltd www.boliven.com 8a Kings Parade, Cambridge Blog: www.cambridgeip.com/blog CB2 1SJ, United Kingdom UK: +44 (0) 1223 777 846 Sign up for our free newsletter Fax: +44 (0) 20 3357 3105 on our home page 12 © 2011 Cambridge Intellectual Property Ltd. All rights reserved
  • 13. Take the survey: IP issues facing the nanotech community • Our nanotech survey is ongoing and aims to identify the key intellectual property issues facing the nanotechnology community today. • There is an option at the end of the survey to receive a summary of the survey results. Take the survey: www.cambridgeip.com/index.php/knowled ge-centre/nanotech-survey
  • 14. Contact us Feel free to discuss your specific technology intelligence requirements with us Visit CambridgeIP‟s www.boliven.com for free patent searches For a series of nanotech patent landscapes  www.boliven.com/landscapes Quentin Tannock Ilian Iliev (Chairman and Founder) (CEO and Founder) Quentin.tannock@cambridgeip.com ilian.iliev@cambridgeip.com GSM +44 -077-862-10305 GSM: +44-077-863-73965 Tel: +44-1223 778 846 Tel: +44-1223 778 846 Corporate office Internet resources Website: www.cambridgeip.com Cambridge Intellectual Property Ltd www.boliven.com 8a Kings Parade, Cambridge Blog: www.cambridgeip.com/blog CB2 1SJ, United Kingdom UK: +44 (0) 1223 777 846 Sign up for our free newsletter Fax: +44 (0) 20 3357 3105 on our home page 14 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 15. Appendix Outline • Appendix: CambridgeIP background & contacts • Nanotech Case Studies: Examples of past work • CambridgeIP snapshot • CambridgeIP experience • CambridgeIP team • Contacts 15 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 16. CS 1: Rapid mapping of large nanotech spaces - UK nanotechnology patent audit Client profile Senior executives from a publically funded organisation approached CambridgeIP for assistance in mapping a broad section of the UK nanotechnology space Business situation • A key driver was the need to inform our clients‟ strategy in this complex and patent intensive space • Our remit was to assist client executives develop a clear understanding of the existing landscape, identify areas of relative strength & weakness and existing R&D collaborations, analyse trends and provide statistical information & benchmarking data for use in business planning and stakeholder reports Our approach • Working with CambridgeIP and senior industry experts we developed and implemented a complex patent search strategy • Results were analysed using our proprietary tools and methods and a focus area for deep analysis was identified • A workshop was conducted for client executives with our internal experts, assisting interpretation and dissemination of findings Results and benefits • Identification of fundamental technologies and key actors • Insights into corporate R&D collaborations - identiifying key players in the • Identification of areas of strength together with technologies applicable to patent space, together with their overlapping relationships multiple sectors of application for future focus by our client • Independent and fact-based assessments of the client organisations impact • Understanding of recent M&A activity with significant impacts on the on UK IP assets, valuable in stakeholder reporting ownership of the UK‟s nanotechnology IP assets 16 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 17. CS 2: University spin-off, competitor strategy analysis using patent-based Intelligence Client profile A top UK University spin-out approached us for an IP Landscape report. Business situation • The client was backed by a major UK government funding organisation. • The CEO of the company required deep intelligence about industry incumbents‟ R&D strategy. • The client also needed independent analysis of the industry‟s patent landscape for use in technology licensing negotiations and structuring a strategic partnership. Our approach Results and benefits • Working with the client‟s senior technical and business • The resulting patent-based intelligence was used in representatives we defined the client‟s technology and market negotiations by our client. spaces • The client felt that the findings on competitors‟ patenting • We identified two technology focus areas of critical activity helped secure a go-ahead for a joint venture with a importance to the client‟s technology with the client and major industry player: “The strategic partner‟s reaction to the performed an IP Landscape report these two areas report‟s findings was startling: immediately inviting us to their HQ to meet with their Head of Development to finalize an agreement towards jointly developing a product.” • The report has also been used by the client when applying for participation Framework 7 programs, by demonstrating the client‟s deep knowledge of the industry‟s patenting trends. Competitor Analysis of Technology Focus in Client's Field Assignee Rank by # of Total # Year of Total Patents Portfolio 5 Year Name Patents in Patents in entry into in Overall Proportion Growth of The example shows how patent data can be Client Tech. Client Tech. the field Industry of Tech. in Focus used to analyse the R&D strategy of Space Space Space Field competitors, and to develop licensing strategy. Company 1 1 37 1993 6,576 1.6% 48.6% The findings suggest that Company 7 is Company 2 2 25 1998 33 100.0% 56.0% aggressively expanding into the client‟s field: it Company 3 3 19 1997 2,007 7.1% 15.8% has the highest growth rate of patenting Company 4 4 16 1992 1,646 2.1% 62.5% activity. In turn Company 2 is most dependent Company 5 5 14 1999 840 7.2% 92.9% Company 6 6 11 1995 8,838 4.1% 63.6% on this field for its strategic success: 100% of Company 7 15 6 2003 400 1.8% 100.0% its patents are in the field of focus. © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 18. CS 3: IP Landscape® - nano-sensor devices Client profile A medium sized VC funded company delivering nano-enabled sensing solutions to the defense and homeland security sectors approached CambridgeIP for assistance updating their IP portfolio and developing an up-to-date patent landscape Business situation • Sophisticated and well-advised client with good understanding of its IP space and competitors, holding a relatively large patent portfolio. • Key drivers were to improve understanding of adjacent IP spaces, increase efficiency and structure in IP intelligence gathering activities, inform investor communications Our approach • We audited the client‟s patent holdings, developing indexed and cross-referenced patent databases; We defined the client‟s space and identified adjacent spaces, undertaking IP Landscape and benchmarking analysis against the client‟s existing portfolio. Business intelligence and key statistics were extracted using the RedEyeTM suite of tools. Results and benefits • Identified technology migration opportunities & threats from adjacent technology spaces • Demonstrated client‟s dominance of aspects of its IP Landscape • The client used our independent findings and analysis in presentations to VC investors, as part of a successful Series C funding round. • Identified existing, known, players and new entrants to the client‟s core IP space – including newly active academic institutes and corporations • Improved organisation of the client‟s existing portfolio, laying a foundation for future portfolio management • Identified portfolio gaps for our client to plug and areas for consideration in future patent filings 18 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 19. CS 4: Accelerate licensing strategy development – early stage surgical materials technology Client profile A leading UK University asked us to help identify market opportunities for an early stage surgical materials development Business situation • Previous market research had not resulted in uptake of the technology by corporate prospects • A go / stop decision point was imminent as international PCT roll-out of an initial patent application approached Our approach Results and benefits • 20+ organisations were identified, were categorised by type and arranged in order of priority for approach by our client • Marketing objectives and recommendations were made in relation to each organisation type • Key geographical markets containing high profile licensing prospects were identified for addition to PCT designated states lists • Information on similar approaches, including diagrams, were provided • We defined the technology space and implemented a multi-layer to client academic experts in a convenient format search strategy that aimed at identifying • licensing candidates • potential collaboration partners • key markets & applications • critical geographical areas • Information useful to marketing the technology • Results and recommendations were presented to the client in a PowerPoint summary report, and cross-referenced Excel dataset • A workshop with the client's TTO representatives and client‟s academic experts aids understanding and dissemination of results and recommendations 19 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 20. Appendix Outline • Appendix: CambridgeIP background & contacts • Nanotech Case Studies: Examples of past work • CambridgeIP snapshot • CambridgeIP experience • CambridgeIP team • Contacts 20 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 21. Our offerings IP Landscape® Open innovation Technology Technology mapping market survey Expert built patent Identify technology Pinpoint emerging Identify market – Knowledge transfer datasets focused on ownership in complex technology patterns technology niches in portal your technology spaces & hotspots rapidly developing Access over 100 markets million scientific Identify prior art in a Shortlist acquisition Understand documents, including technology space opportunities technology value Inform in-house R&D the latest patents chains strategy Uncover inventor & Identify overlaps with Conduct technology collaborator networks your own technology Identify technology Influence public literature searches portfolio market & sector innovation Clarify strengths & commercialisation support strategies Perform high-level weaknesses of patent Conduct due scenarios analytics on patent portfolios diligence on external data partners Locate prospective Prioritise key market Confirm freedom to partners, acquisitions segments and identify Collaborative patent operate & technology Identify open and clients strategic partners & landscaping with white space analyses innovation collaboration your colleagues opportunities in your Information on opportunities Support investment own and others‟ IP partner/acquisition Boliven Landscapes due diligence and portfolios candidates operating Identify in what areas Access valuable preparation for fund in your area of you need to build an patent datasets raising CxO compatible interest IP Landscape combined with materials, workshops industry expert Understand market and seminars analyses trends 21 ©2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 22. CambridgeIP‟s technology and knowledge platforms CambridgeIP‟s offerings are based on a combination of: • Proprietary software and workflow platforms tested through more than 140 real life projects • A 100 million document database of patent and non-patent literature • Quality assurance and report standards that ensure consistency in the outputs for our clients • The Boliven.com online platform of technology literature search and analytics with 8,000+ registered users and 30,000+ unique visitors per month RedEye: our software analytics and workflow platform Boliven.com: a leading portal for R&D and IP professionals 22 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 23. Appendix Outline • Appendix: CambridgeIP background & contacts • Nanotech Case Studies: Examples of past work • CambridgeIP snapshot • CambridgeIP experience • CambridgeIP team • Contacts 23 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 24. Our clients We have delivered more than 100 projects with leading organisations: including major corporations, research institutes, service providers, high-tech SMEs and investors Selected clients: … and other leading big pharma 24 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 25. Thought leadership Selected publications: CambridgeIP is a recognised thought leader in the technology intelligence space. Our research has been covered by the Harvard Business Review, Financial Times, Nature Publishing Group and other leading media. Our collaborations include Chatham House, University of Sussex and Cambridge University’s Judge Business School. 25 ©2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 26. Health and life sciences Medical devices Pharmaceutical OTC drugs Auto-injectors formulations Analgesics Inhalers Excipients Anti-microbial Endoscopy Carriers Anti- fungal Ultrasound Liposomes Wound healing Propellants Vaccines e-Health Nanoparticles Dendritic cell Capsules Recombinant vector T- Diagnostics cell receptor peptide Telehealth vaccines Manufacturing DNA vaccination Blood glucose Heart rate processes Blood pressure Spray drying Gene therapy Biomarkers Freeze drying Silencing Jet milling Tissue targeting Filling Active Packaging pharmaceutical Regenerative ingredients Generics medicine Biopharmaceuticals Cell therapy Bio-similars Tissue targeting iPSC Re-formulation Drug conjugation Tissue engineering Patents expiries New chemical entities Cell-based vaccines 26 ©2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 27. Clean tech and energy Wind energy Fuel cells Nano devices systems & materials Biomass Advanced Geothermal refrigeration energy Systems Photovoltaic & Clean coal Refineries, component carbon capture power gen, technologies CO2-EOR co-gen. Concentrated Marine Desalination solar & other transport and water energy storage sanitation systems Smart grid 27 ©2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 28. Telecommunications and electronics Wireless authentication Geographical systems Physical/Remote access control GIS measurements Merchant/Purchasing Satellite navigation/GPS Digital credentials Clean tech Telecoms standards Smart grid ETSI Smart meters Continua alliance Transport management RFID Distributed sensor systems Blue tooth Energy harvesting Near field communication Radio frequency identification Internet & data handling Search Hardware Cloud computing Card readers Data fusion Routers Database replication Mems Flexible displays Contactless card Mobile devices/applications Satellite communications E-reader Mobile search Application software e-Health Media convergence Remote diagnostics 3G/4G/WiFi Device access control 28 ©2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 29. Nanotechnology Nanomaterials Tissue engineering CNT Nano-materials Graphene Nano-fibers Nanoparticles Scaffolds Nanobiotechnology Nanoparticles Bio-compatible nanoparticles Colloidal gold DNA nanotechnology Iron nanoparticles Nanospheres Nanostructures Nanoformulations Platinum nanoparticles Quantum dots Silver nanoparticles Carbon nanotubes CNT, SWNT, DWNT, MWNT Functionalization Industrial fields Production Advanced materials Purification Automotive, Aerospace Electronics Paints & Coatings Nanotoxicity Nanotubes Nanospheres Environmental Nanoparticles applications Risk assessment technologies Construction materials Energy storage, generation and transmission 29 Water purification ©2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 30. Appendix Outline • Appendix: CambridgeIP background & contacts • Nanotech Case Studies: Examples of past work • CambridgeIP snapshot • CambridgeIP experience • CambridgeIP team • Contacts 30 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 31. Selected team members Quentin Tannock Ilian Iliev Dr Robert Brady Mark Meyer Ralph Poole Vladimir Yossifov Chairman & co-founder CEO & co-founder Non-Exec Director Business Development Boston Geneva Representative Manager Representative North America Arthur Lallement Helena van der Merwe Sarah Helm Yanjun Zhao Senior Associate Senior Associate Senior Associate Senior Associate 31 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 32. Key team members 1 Quentin Tannock (Chairman & co-founder)  Quentin leads our work in Nanotechnology, Materials, Health and Investment strategy. He has managed IP Landscape, IP Strategy and M&A and investment strategy projects for multinational corporations, investment groups and leading universities. His IP strategy related work has been covered in Bloomberg, Nature Publishing Group, The Wall Street Journal and elsewhere.  Prior experience: founder of a successful company in the chemical sector; law lecturer; facilitated major R&D collaborations at Cambridge University (Electronics, Photonics & Nanotechnology); member of Lambert working group tasked by government to draft model contracts for industry- university collaborations; IP analysis & strategic advice to nanotechnology venture capitalists; assisting Cambridge University Institute of Biotechnology start-ups (bio-nano diagnostic devices) with commercial and fundraising strategies  Education: Law, (Roman-Dutch, Common Law, International Law in Cambridge & elsewhere) Ilian Iliev (CEO & co-founder)  Ilian leads our work in Energy & CleanTech and Telecoms areas. Ilian has published widely and has lead IP Landscape and IP Strategy projects for the full range of participants in high- technology sectors. He has assisted multi-national corporations and SMEs with their industrial partnering and fund-raising strategies.  Prior experience: strategy & innovation advisory work for a Magic Circle law firm; award-winning biotech start-up in Cambridge; policy advice; 1990s: founded and ran a 100+ employee business in the electrical industry in Southern Africa  Education: Economics and Management; Ccmpleting a PhD on „Innovation Finance‟ at the Judge Business School, Cambridge University Dr Robert Brady (non-Exec. Director)  Prior experience: Founder of Brady plc a leading supplier of transaction and risk management software solutions to companies and banks operating in the metals and minerals, energy and 'soft' commodity sectors. Dr Brady acts as an active mentor and advisor for several growth companies, specializing in information technology and services. He is the current treasurer of Cambridge Angels investment group.  Education: fellow at Trinity College, Cambridge, where he specialized in the field of physics. 32 © 2012 Cambridge Intellectual Property Ltd. All rights reserved
  • 33. …and finally… Feel free to discuss your specific technology intelligence requirements with Quentin or Ilian Visit CambridgeIP‟s www.boliven.com for free patent searches Thank you ! Quentin Tannock Ilian Iliev (Chairman and Founder) (CEO and Founder) Quentin.tannock@cambridgeip.com ilian.iliev@cambridgeip.com GSM +44 -077-862-10305 GSM: +44-077-863-73965 Tel: +44-1223 778 846 Tel: +44-1223 778 846 Corporate office Internet resources Website: www.cambridgeip.com Cambridge Intellectual Property Ltd www.boliven.com 8a Kings Parade, Cambridge Blog: www.cambridgeip.com/blog CB2 1SJ, United Kingdom UK: +44 (0) 1223 777 846 Sign up for our free newsletter Fax: +44 (0) 20 3357 3105 on our home page 33 © 2011 Cambridge Intellectual Property Ltd. All rights reserved