nanowire led patent investigation ip 2014 report by yole developpement

© 2014 1Copyrights © Yole Développement SA. All rights reserved.Copyrights © Yole Développement SA. All rights reserved.

© 2014 1

Le Quartz75 cours Emile Zola, F-69001 Lyon-Villeurbanne, France

www.yole.fr

2405 route des Dolines06902 Sophia Antipolis, France

www.knowmade.com

Nanowire LEDPatent Investigation

http://www.yole.fr/

http://www.knowmade.com/

© 2014 2Copyrights © Yole Développement SA. All rights reserved.

A New Type of Report Providing a Clear Link between IP Situation and Market Evolutions

More than describing the status of the IP situation, this report provides a missing link between patentedtechnological solutions and market, technological and business trends

– Knowmade has developed a unique methodology to define a technical segmentation of patent landscape and identifykey patents.

– By combining their technical knowledge, business understanding and patent search, Yole and Knowmade are able toprovide unique analysis and added value in this report.

– In-depth technological analysis of patents provided in this report will lead to understanding of strategic decisions andpositioning of key players within the value chain.

LED Nanowires Technology Analysis

and Forecast

LED Nanowires

IP Landscape

Yole’s Standard

Reports:• Market Analysis

• Technology Analysis

• Tear down and reverse

costing analysis

Yole & Knowmade’s New

IP Reports:• Patent analysis

• Technological segmentations

• Identification of key patents

• Market implication of IP landscape

• Full searchable patent database


Scope of the Report

• This report provides a detailed picture of the patent landscape for LED with nanowires. Only patentsrelated to nanowires for LED applications were considered: nanowires used as PN junction (“activedevices”) and nanowires used for light extraction (“passive devices”). This report does not include patentsrelated to the fabrication of nanowires or for other applications (solar, detectors, laser …).

• More than 350 patent families relevant to the scope of this report have been analyzed. Those have beenmanually segmented by type and organized in various technology segments as described below.

• Market data from Yole Développement are also provided to add some context regarding business trendsand metrics.

Active DevicesPN Junction in the

nanowire

Deposition

Method

Active

MaterialSubstrate PN Junction

Patent Type

Passive DevicesNanowires are used to

improve the light extraction

Passive

Material


Key Features of the Report

• The report provides essential patent data, technology analysis and forecast for LED Nanowires.

• It identifies more than 100 patent holders of LED Nanowires related intellectual property. It provides in-depth analysis of key technology segments and key players including:

– Time evolution of patent publications and countries of patent filings

– Current legal status of patents

– Ranking of main patent applicants

– Joint developments and IP collaboration network of main patent applicants

– Key patents

– Granted patents near expiration

– Relative strength of main companies IP portfolio

– Overview of patent litigations

– Matrix applicants/technology issues for more than 30 companies

• A special focus is provided on key issues and approaches:

– Materials: GaN, ZnO, GaAs, InP …

– Type of technology: active device (active layers), passive device (light extraction enhancement)

– Type of PN junction: axial, radial (core-shell), axial/radial

• The “LED Nanowires IP” profiles of 6 companies is presented, with key patents, technological keyapproach, and partnerships.


Key Features of the Report

• The report also provides an extensive Excel database with all patents analyzed in the report withtechnology segmentation. This database allows multi-criteria searches:

– Patent information

- Patent publication number

- Hyperlinks to the original documents

- Priority date

- Title

- Abstract

- Patent Assignees

- Technological segments

- Legal status for each member of the patent family

– Technological segments-Deposition Method

-Substrate

-Material

-PN Junction

• This report does not provide any insight analyses or counsel regarding legal aspects or the validity of anyindividual patent: Knowmade and Yole Développement are research firms that provide market and technicalanalysis and opinions. The research, technical analysis and/or work contained herein is not a legal opinionand should not be construed as such.


Methodology (1/2)

• The data were extracted from the FamPat worldwide database (Questel-ORBIT) which provides 80+ million patent

documents from 95 offices.

• The patents search was performed in early February 2014, hence patents published after this date will not be available in

this report.

• The patent selection is done both automatically and manually.

• The statistical analysis was performed with INTELLIXIR System.

• The patents were categorized using keyword analysis of patent title, abstract and claims, in conjunction with expert review

of the subject-matter of inventions (details in next slides).

• The patents were organized according to FamPat’s family rules (variation of EPO strict family): A Patent Family comprises

patents linked by exactly same priority numbers (strict family), plus comparison of priority and application numbers,

specific rules by country and information gathered from other sources (national files, legal status …).

Disclaimer: Knowmade and Yole Développement are research firms that provides technical analysis and technical opinions.

The research, technical analysis and/or work contained herein is not a legal opinion and should not be construed as such.

Number of selected patent families for the LED Nanowires IP Investigation:

361 over a number of returned results > 700


Methodology (2/2)


Time Evolution of Patent Publications

From 2003 to 2014, 246 patent families were published on nanowires as active layers for LED applications. Publications increase

almost constantly over the past ten years except a decrease in 2010. The exact reason of the reduction in 2010 is unknown. It could be

attributed to the economic crisis in 2008-2009, during which less patents were filed and thus less patents were published in 2010 (18

months after patent filing).

Note:The data corresponding

to the year 2014 are not complete since the patent search was done

in February 2014

Active Devices

2 25

11

21

2932

20

32

4642

40

5

10

15

20

25

30

35

40

45

50

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

No

. o

f P

ate

nt

Fa

mil

ies

Publication year of each patent family

Knowmade© March 2014Solidlite

TWI220319

LG

Postech Foundation

WO2004114422

Postech

Foundation

KR100462468


Summary of Main Assignee Patent PortfoliosActive

Devices

AssigneeNo. of patent

families

Oldest priority date of the

patent portfolio

No. of patent

families filed / yr

No. Of patents

Patents average

age

Granted patents

Pending patents

Dead patents

No. of alive patents /

family

Country of filings(Number of Patent Documents)

(DD/MM/YYYY) (average) (Y) (%) (%) (%)(granted, pending)

KR US JP WO CN FR

Company 1 XX 07/04/2004 6.0 134 3 54% 43% 2% 2.2 53 32 6 7

Company 2 XX 14/07/2005 3.4 113 5 34% 7% 59% 1.5 2 2 28 5 2

Company 3 XX 26/06/2003 1.6 31 6 52% 39% 10% 1.6 15 3 2 2 3

Company 4 XX 09/06/2006 1.5 55 3 33% 62% 5% 4.3 7 3 8 2 10

Company 5 XX 31/03/2012 3.8 8 1 0% 100% 0% 1.0 8

Company 6 XX 25/06/2005 0.8 35 5 40% 34% 26% 1.1 6 4 2 5 1

Company 7 XX 19/12/2008 1.3 62 2 23% 76% 2% 1.1 4 7 4 6 4

: highest value in column

: lowest value in column


Mapping of Current IP HoldersActive

Devices


Technology SegmentationActive

Devices

Active Devices(246 patent families)

Deposition Method(246 patent families)

Active Material(246 patent families)

Substrate(246 patent families)

PN Junction Type(246 patent families)

• Mechanisms :

-VLS

-SLS

• Methods :

-CVD : CVD, MOCVD, MOVPE,

PECVD, VPE, ALD, LPCVD

-MBE

-HVPE

-PVD : Evaporation, Sputtering,

PLD, e- beam vapor deposition

• Other Techniques : Template

Electrodeposition, LPE, SPE, CBE,

Ultrasonic Vibration, ….

• Not Specified

•III-N

•ZnO

•GaAs

•III-P

•Other Materials

•Not Specified

•Silicon

•Sapphire

•SiC

•III-N

•Glass

•ZnO

•GaAs

•Metal

•Spinel

•Germanium

•III-P

•Ceramic

•Others

•Not Specified

•Axial

•Radial/Core-Shell

•Axial & Radial

•Not Specified

Patents belonging to the group Active Devices have been manually categorized by technology segments as

described below. In brackets is the corresponding number of patent families. Note that a patent can be found in several

categories.


Segmentation by Active Material TypeActive

Devices

Knowmade© May 2014

Patent ApplicantsNo. of Patent

FamiliesIII-N ZnO GaAs III-P

Other Materials

Not Specified

Company 1 XX 47 20 10 10 5 5Company 2 XX 30 9Company 3 XX 15 4 2 2Company 4 XX 11 7 4 3 1Company 5 XX 7 1Company 6 XX 6 5Company 7 XX 7 6 6Company 8 XX 5 1 1Company 9 XX 4Company 10 XX 3 4 4 4 4Company 11 XX 4Company 12 XX 4Company 13 XX 4 4 4Company 14 XX 3Company 15 XX 3 3 2 2 2Company 16 XX 2 3 2 1Company 17 XX 3 1Company 18 XX 3Company 19 XX 1 2Company 20 XX 1 2Company 21 XX 2 3 1Company 22 XX 3 1 1 1


Patent Assignee IP NetworkPatent Assignee IP NetworkKey Patent Families for Axial PN JunctionActive DevicesPN Junction :

Axial

The selection of key patent families is based on citations analysis, family size, current legal status of patents, and

impact on the LED Nanowires technology.

The corresponding main citing applicants are given for each key patent family.

Company B

USXXXXX

2003

SAMSUNG

Earliest

publication date

of the patent

family

Company D

KRXXXXXXX

UNIV CALIFORNIA

HEWLETT PACKARD

UNIVERSITY OF NEW MEXICO

US DEPARTMENT OF ENERGY

2005 20092006 2007 2010

KnowMade© March2014

Company A

USXXXXX

GENERAL ELECTRIC

SAMSUNG

LG

Company F

USXXXXX

SAMSUNG

Company C

EPXXXXX

SHARP

QUNANO

PANASONIC

Company G

WOXXXXX

SAMSUNG

GLO

FLORIDA UNIVERSITY

Company E

KRXXXXXX

UNIV CALIFORNIA

Company I

WOXXXXXX

TOSHIBA

SEMIMATERIALS

2008

Company H

TWXXXXX

LG

CREE

Company K

USXXXXXX

HIMAX

TSINGHUA UNIV

Company J

WOXXXXX

SAMSUNG

2011

Company L

USXXXXXX

LG


Samsung Samsung Display Devices, Samsung Electro Mechanics, Samsung Electronics, Samsung LED,

Samsung Corning Precision Materials


© 2014• 15

Copyrights © Yole Développement SA. All rights reserved.

Excel Database with all patents analyzed in the report with technology segmentation

This database allows multi-criteria searches and includes patent publication number, hyperlinks to the

original documents, priority date, title, abstract, patent assignees, technological segments, legal status for

each member of the patent family.


History of LED IndustryLED Industry is Entering its 3rd Growth Cycle

1. Growth of the LED industry came initially from smallLCD displays and keypad backlighting applications.

2. And was driven forward by the LCD displayapplication.

– LED TV was expected to be the LED industry driver for2011, but the reality was quite different due to lowersales of LCD TVs, lower than expected adoption rate ofLED and lower number of LEDs per TV set. Thissituation, mixed with the entry of several new Asianplayers, created a climate of overcapacity, pricepressure, and strong competition.

– Packaged LED volumes were about 30% lower thanexpected and revenue shrank due to strong ASPpressure.

3. In 2012, most companies have started to move to thenew “El Dorado” of the LED business: GeneralLighting, which represents the next killer application.In 2013, LED technology has really spread beyondgeneral lighting with the LED penetration rate > 4% insome applications. However, to enable massiveadoption of the technology, LED-products still requirea cost decrease.


The Path to Cost Reduction

Need for a cost reduction by a factor of 5 - 6 at system level.

Manufacturing Efficiency

• Higher equipment throughput and yields

• Economy of scale

LED Performance

• Higher efficiency (lumen/W)

• More light per chip (driving current)

COST =$

LUMEN

x3

x2


Pure PlayersOverview

• Several academic players are also working on nanowire technology:

– Gwangju Institute of Science and Technology - GIST (KR)

– University of California Los Angeles - UCLA (USA)

– University of Illinois (USA)

– …

Several pure Nanowire players developing LED have emerged.

All of them are spins off from academic institutions.

Company name Country Material Substrate NW fabrication technique

Aledia XXXXXX XXXXXXX Si MOCVD

glōSweden /

USAIII-V nanowires Sapphire, Si XXXXXX

XXXXX Taiwan GaN nanowires XXXXX MOCVD

Ecospark Sweden ZnO nanowires XXXXX XXXXX

XXXXXX XXXXX GaAs nanowires Graphene MBE

ORDER FORMNanowire LED Patent Investigation

PAYMENTBY CREDIT CARD Visa Mastercard Amex

Name of the Card Holder:

Credit Card Number:

Card Verification Value (3 digits except AMEX: 4 digits):

Expiration date:

BY BANK TRANSFERBANK INFO: HSBC, 1 place de la Bourse, F-69002 Lyon, France, Bank code: 30056, Branch code : 00170Account No: 0170 200 1565 87, SWIFT or BIC code: CCFRFRPP, IBAN: FR76 3005 6001 7001 7020 0156 587

RETURN ORDER BY • FAX: +33 (0)472 83 01 83• MAIL: YOLE DÉVELOPPEMENT, Le Quartz,

75 Cours Emile Zola, 69100 Villeurbanne/Lyon - France

SALES CONTACTS • North America: David Jourdan - [email protected]• Asia: Takashi Onozawa - [email protected] • Europe & RoW: Jean-Christophe Eloy - [email protected]• Korea: Hailey Yang - [email protected] • General: [email protected]

(1) Our Terms and Conditions of Sale are available at www.yole.fr/Terms_and_Conditions_of_Sale.aspx The present document is valid 24 months after its publishing date: May 26th, 2014

/

ABOUT YOLE DEVELOPPEMENT ABOUT KNOWMADE

BILL TOName (Mr/Ms/Dr/Pr):

Job Title:

Company:

Address:

City:

State:

Postcode/Zip:

Country*:

*VAT ID Number for EU members:

Tel:

Email:

Date:

PRODUCT ORDERPlease enter my order for above named report : One user license*: Euro 3,990 Multi user license: Euro 5,990*One user license means only one person at the company can use the report. Please be aware that our publication will be watermarked on each page with the name of the recipient and of the organization (the name mentioned on the PO). This watermark will also mention that the report sharing is not allowed.

For price in dollars, please use the day’s exchange rate. All reports are delivered electronically at payment reception. For French customers, add 20% for VAT I hereby accept Yole Développement’s Terms and Conditions of Sale(1)

Signature:

KnowMade

Founded in 1998, Yole Développement has grown to become a group of companies providing marketing, technology and strategy consulting, media in addition to corporate finance services.With a strong focus on emerging applications using silicon and/or micro manufacturing, Yole Développement group has expanded to include more than 50 associates worldwide covering MEMS, Compound Semiconductors, LED, Image Sensors, Optoelectronics, Microfluidics & Medical, Photovoltaics, Advanced Packaging, Nanomaterials and Power Electronics. The group supports industrial companies, investors and R&D organizations worldwide to help them understand markets and follow technology trends to develop their business.

CONTACTS For more information about :• Consulting: Christophe Fitamant ([email protected])• Financial Services: Géraldine Andrieux-Gustin ([email protected])• Reports: David Jourdan ([email protected])• Media & Communication: Sandrine Leroy ([email protected])

Knowmade is specialized in analysis of patents and scientific research findings. We provide patent search, IP landscape, patent valuation, IP due diligence, FTO search, scientific literature landscape, identification of technologies available for transfer/licensing/sale, alerts and updates. Our service offer consists of custom studies, analysis reports, on-demand tracking and strategy consulting.

Knowmade combines information search services, scientific expertise, powerful analytics and visualization tools, and proprietary methodologies for analyzing patents and scientific information. With a solid focus on Compound Semiconductors, LED, MEMS, Nanotechnology and Biotechnology, Knowmade supports research laboratories, industrial companies and investors in their business development.

CONTACTS• [email protected]

SHIPPING CONTACT

First Name:

Email:

Last Name:

Phone: