Scouting Intellectual Properties in the Age of “More Than Moore”

Dr. Kevin Hess

Central Texas Electronics Association Symposium

Austin, TX – Feb 11, 2016

2Patent technics

How to identify strategic patents for acquisition

within a technology domain – 3D IC?

• IP Landscapes and Taxonomies

• Context for 3D IC Case Study

• Methodology of Searching

• Case Study and Analysis

3Patent technics

An IP Landscape is a populated taxonomy used

to address questions about patents in a

technology domain…

• What solutions exist to technical issues in a domain?

• Who are the key innovators (…competitors)?

• What is the investment trend in the space?

• Were there any inflection points in the domain?

• Where are the acquisition opportunities for patents?

4Patent technics

Taxonomies are hierarchical frameworks for classifying

solutions within a technology domain…• Comparing patent sets (portfolios)

• Identifying innovation opportunities (white space, gaps)

• Finding critical innovations (singular solutions)

Taxonomies can be structured in many ways…• Physical features of a product

• Attributes of a product or process

• Steps of a process

• Stages in a supply chain

5Patent technics

Pushing the limits of Moore’s Law…

Source: IEEE CPMT Webinar: Photonics in Heterogeneous 3D-SiP: A Key to Maintaining the Pace of Progress; W.R.Bottoms; 4 Feb 2016.

6Patent technics

Planar devices are at the cost inversion… (physics)

Source: IEEE CPMT Webinar: Photonics in Heterogeneous 3D-SiP: A Key to Maintaining the Pace of Progress; W.R.Bottoms; 4 Feb 2016.

7Patent technics

Source: IEEE CPMT Webinar: Photonics in Heterogeneous 3D-SiP: A Key to Maintaining the Pace of Progress; W.R.Bottoms; 4 Feb 2016.

Planar devices are at the cost inversion… (physics)

8Patent technics

FPGAs… Xilinx Virtex-7 (2011)

…Altera Stratix 10 (2015)

(2.5D - microbumps, TSV, interposer… )

Sources: www.xilinx.com; www.altera.com

(Intel EMIB - microbumps, Si bridges… )

9Patent technics

Processors... improved processor-memory bandwidth

Source: IEEE CPMT Webinar: Photonics in Heterogeneous 3D-SiP: A Key to Maintaining the Pace of Progress; W.R.Bottoms; 4 Feb 2016.

10Patent technics

Processor Systems… AMD Fiji GPU (2015)

SK Hynix DRAM HBM >

(Micro bumps, TSV, Interposer… )

Sources:www.amd.com;http://www.eetimes.com/auth

or.asp?section_id=36&doc_id=1327254

11Patent technics

Memory…

• Samsung

• SK Hynix HBM

• Micron HMC(not 3D VNAND Flash)

Source: IEEE CPMT Webinar: Photonics in Heterogeneous 3D-SiP: A Key to Maintaining the Pace of Progress; W.R.Bottoms; 4 Feb 2016.

12Patent technics

Presentation at JEDEC

Committee JC42.6 Mobile

Memory Forum, June 2011.

Source: JEDEC Standard JESD229-2. August 2014.

DRAM - JEDEC JESD229-2 “Wide I/O 2” (Aug 2014)[Micron HMC, SI2… alliances, working groups, etc.]

13Patent technics

Presentation at JEDEC Committee JC42.6 Mobile Memory Forum, June 2011.

JEDEC Publication 95, Design Registration 4.26, Micropillar Grid Array (Dec 2011)

DRAM - JEDEC JESD229-2 “Wide I/O 2” (Aug 2014)

14Patent technics

A patent acquisition to support licensing or defensive position should focus

on a common, critical feature or element of the system of interest. Ideally,

the solution is prescribed by a design standard.

For 3D (and 2.5D) IC, products and design standards use micro-bumps or -

pillars for die or interposer interconnect.

Therefore, interconnect is a topic of interest for investment.

The first step is to construct a landscape taxonomy against which to assess

where there are key solutions (patents) available.

15Patent technics

Taxonomy subtopics describe

the physical features and

functions of a 3D IC system

that support the high level

interconnect topic.

3D IC Interconnect

Simple illustrative taxonomy for 3D IC based on structures.

Devices (die, chips, memory, processors)

Format (bumps, pillars)

Layout (array, grid)

Materials (solder, copper)

Function (communications, signal)

System (3D, multiple die)

16Patent technics

Building a patent set should employ at least two approaches, or lenses:

− Keyword Booleans are essential as a starting point; provide context; can

be focused on fields – title, abstract, claims.

− Class codes are generally broad; misclassification happens; require at

least one additional “lens”.

− Citations* provide peer group information; multi-level cites can return

adjacent and contemporaneous innovations.

*Requires source information to start.

citationsclasses

keywords

− Semantic matching* returns conceptually

similar documents; can be based on any text

document - patents, product descriptions,

technical articles, standards, etc. (augment

with focus keywords).

17Patent technics

*Strength filters are comparative algorithms for

screening criteria such as indicators of patent

quality, as well as assignee revenue.

Initial patent set defined by keyword and semantic searches. Then refined

based on filters for patent quality and context of acquisition.

Keywords

Semantic

Review

Cite Mining

Data Set

Filtering Algorithms*

Solutions, Trends, Players

Acquisition

CandidatesRefined Data Set

Second Iteration

First Iteration

18Patent technics

Taxonomy nodes converted to keyword phrases. The result set

includes overlap between KW search strings… (25585)

k(ij) Definition String Results*

K(1,1) Device1 (die or chip or semiconductor or silicon or IC or "integrated circuit") 3917

K(1,2) Device2 (memory or processor or CPU or MPU or GPU or DRAM or Flash) 1735

K(1,3) Format1 (bump or pillar or column or post or micropillar or microbump or "micro-bump" or "micro-pillar") 3537

K(1,4) Format2 (flipchip or "flip chip" or "flip-chip") 614

K(1,5) Layout (array or grid or interposer or interposed) 3828

K(1,6) Materials (metal or alloy or solder or copper) 3898

K(1,7) Function (interconnect* or connect* or communicat* or signal or redistribution) 4139

K(1,8) System1 (3d or 3-d or 3-dimensional or z-direction or z-axis or vertical or stacked) 3380

K(1,9) System2 ("chip-to-chip" or multidie or multichip or "multi-die" or "multi-chip" or "multiple chips"~2 or

"multiple die"~2 or "two die"~3 or "two chips"~3)537

K(1,10) NOT Wirebond (wirebond or "wire bond") na

* Matches versus final pool resulting from Boolean of keyword terms (overlap).

19Patent technics

Logical “OR” of the keyword string results, refined search

field, patent jurisdiction, and document status.

Code String Limitations Results

K1a ((die or chip or semiconductor or silicon or IC or "integrated circuit")

OR (memory or processor or CPU or MPU or GPU or DRAM or Flash)) AND

((bump or pillar or column or post or micropillar or microbump or "micro-bump" or

"micro-pillar") OR (flipchip or "flip chip" or "flip-chip")) AND ((array or grid or

interposer or interposed)) AND ((metal or alloy or solder or copper)) AND

((interconnect* or connect* or communicat* or signal or redistribution)) AND ((3d

or 3-d or 3-dimensional or z-direction or z-axis or vertical or stacked) OR

("chip-to-chip" or multidie or multichip or "multi-die" or "multi-chip" or "multiple

chips"~2 or "multiple die"~2 or "two die"~3 or "two chips"~3)) NOT ((wirebond or

"wire bond"))

TAC, WW 8977

K1b As above. Claims only, WW 5291

K1c As above. TAC, USG&A 4510

K1d As above. Claims only, USG&A 2290

K1e As above. TAC&B, WW

K1f As above. TAC&B, USG&A

Keyword Boolean yields 4510 hits for US Grants and Apps.

* TAC – search against title, abstract, and claims.

20Patent technics

Semantic matching to interconnect description provided in the JEDEC

Publication “Micropillar Grid Array”…

“((die or chip or semiconductor or IC or "integrated circuit") OR

(memory or processor or CPU or MPU or GPU or DRAM or Flash))”

with added keyword string search to ensure context…

Returns 945 results, 74 overlapping the initial KW search hits.

21Patent technics

Summary of Semantic Search ResultsCode Semantic Source Context Limitations Results

S1 JEDEC Micropillar Grid Array Definitions (2011)

http://www.jedec.org/sites/default/files/docs/JESD229.pdf

Device1 OR Device2 USG&A 945

S2 Samsung Press Release Wide IO DRAM (2011)

http://www.samsung.com/global/business/semiconductor/ne

ws-events/press-releases/detail?newsId=4028

Device1 OR Device2 USG&A 991

S3 Micron Hybrid Memory Cube Technology Description

http://www.hybridmemorycube.org/news.html

Device1 OR Device2 USG&A 919

KW JEDEC Samsung HMC

K1 S1 S2 S3

K1 - 74 32 34

S1 - 14 26

S2 - 330

S3 -

K1 + S1, S2, S3 = 6553 patents, 4010 families

Negligible overlap between the keyword and

semantic searches was observed. The

overlap between semantic searches was

marginal, except for S2:S3.

Semantic search yielded 2495 unique hits.

22Patent technics

Top 50 Assignees – Patent Counts (bar) and Revenue (line)

Top companies with larger holdings have significant revenue; not likely to

represent patent acquisition opportunities.

23Patent technics

Top 50 - Patent Count (size) and Revenue (color scale)

Number of large companies, many one might expect in this space.

Confirms companies noted in the market orientation for 3D IC.

Several “zero revenue” patent holding companies highlighted.

24Patent technics

Landscape of Derived Topics and Top 5 Assignees

Largest holders have patents across the landscape.

Few areas untouched by the top 5.

Alignment with initial taxonomy.

Patents per cell: 9

25Patent technics

The priority to filing ratio for grants suggests early patent families created follow-on

filings - one indicator of patent value; later patents less fundamental.

Priority Year

Filing Year

Early Development18 Month Publication Delay

26Patent technics

The initial patent set (6553) is too large to identify acquisition prospects.

Innography’s CustomStrength™ feature provides a means for ranking by

intrinsic and extrinsic factors (i.e., patent maturity, examination length,

forward and backward citations).

Code criteria for “patent quality” and filter the larger data set for just the

patents of interest.

Innography provides an example CS filter based on the oft-quoted

“Valuable Patents” paper by Allison, et al. (2003):

“if((fwdcites/age) > 1, 1, 0) + if(cites > 18, 0, if(cites > 5, 1, 0)) + if(age > 10, 1, 0) +

if(life > 1, 1, 0) + if(inventors > 3, 1, 0) + if((publishyear - filedyear) > 4, 1, 0) +

if(claims > 25, 1, 0) + if(litigation > 0, 1, 0)”

Valuable Patents paper: http://www.law.gmu.edu/faculty/papers/docs/03-31.pdf

27Patent technics

Patent acquisition for licensing - proposed factors to define patent

quality and acquisition likelihood:

• Forward citation count at least equals numeric age (1 cite/yr)

• Backward citation count of at least 5

• At least 7 yrs since priority and 5 yrs before expiration

• Prosecution length at least 4 yrs

• Not used in litigation

• Asset owned by small entity (<$10M revenue proxy)

Ranking algorithm from above criteria (max score of 7):“if (revenue <10000000,1,0) + if((fwdcites/age) > 1, 1, 0) + if(cites > 5, 1, 0) + if(age >= 7,

1, 0) + if(life >= 5, 1, 0) + if((publishyear - priorityyear) > 4, 1, 0) + if(litigation > 0,0,1)”

28Patent technics

The initial starting set (K1 + S1, S2, S3) contained 6553 unique patents.

Using the patent quality and acquisition scoring algorithm and setting a

threshold at 70% of max score of 7 points (composite scores of 5-7

points) as the cut off. Initial data set is reduced to a subset of 358

patents.

Of the 358 patents, several exemplary documents were found that

represent potential acquisition opportunities.

29Patent technics

Patent Count (size) and Revenue (<$10m reported)

Diverse neighborhood…

Patent aggregators suggest an active patent space.

Research groups and universities now prominent – potential source.

Refine further by removing large holding companies – Round Rock Research, etc.

30Patent technics

Patent Count and Litigation Record – Top 30

Top 30 companies with no

significant reported revenue and

patents flagged by the maturity,

citations, examination filters.

Company records flag patent

holders involved in any litigations.

These assignees are less likely to

sell patents.

31Patent technics

Landscape of Derived Topics and Top 5 Assignees

Focus areas better resolved for the top 5

assignees. Some hints as to company IP

strategy.

Patents per cell: 2

32Patent technics

Elm Technology Corp. (US)

“Three Dimensional Structure

Integrated Circuits”

Priority: Apr 1997

33Patent technics

Advanpack Solutions (SG)

“Pillar Connections for

Semiconductor Chips and Method

of Manufacture”

Priority: Apr 2000

34Patent technics

Megica Corporation (TW)

“Low Fabrication Cost, Fine Pitch

And High Reliability Solder Bump”

Priority: Mar 2001

35Patent technics

Arbor Company LLP (US)

“Reconfigurable Processor Module

Comprising Hybrid Stacked

Integrated Circuits”

Priority: Dec 2001

36Patent technics

Norman, Richard (CA)

“Microelectronic Complex Having

Clusters Conductive Members”

Priority: Dec 2001

37Patent technics

Hong Kong Applied Science and

Technology Research Institute

(CN)

“Bonding Method for Through-

Silicon-Via Based 3D Wafer

Stacking”

Priority: Jun 2008

38Patent technics

• The 3D IC interconnect was identified as an interesting neighborhood. A

patent data set was created from a structural taxonomy using a

combination of keyword and semantic searches.

• The quality of the properties in the neighborhood was ranked. The data

set was refined using a filtering algorithm based on the context of patent

quality and acquisition.

• A shortlist was created to tour. Patents assigned to several small entities

were identified that met the quality criteria and that might available for

acquisition… patents or companies.

• Further refinement - include citation analysis and class code mining to

expand the initial pool before filtering on quality; incorporate claim

element/word count based scoring in the quality algorithm.

39Patent technics

Innography

www.innography.com

Patent Information Users Group

www.piug.org

CTEA

40Patent technics

Thank you!

Patent technics/ˈtɛknɪks/ - the study or science of an art or arts.

Pt

• Patent Portfolio Review & Annuity Decisions

• Patent Landscape Studies

• Patent Market Valuation: Acquisition & Divestiture

• Evidence of Use and Technical Claim Mapping

• Prior Art Search, Reverse Claim Mapping, & IPR Support