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© 2014 1
Le Quartz75 cours Emile Zola, F-69001 Lyon-Villeurbanne, France
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www.knowmade.com
Nanowire LEDPatent Investigation
© 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
© 2014 3Copyrights © Yole Développement SA. All rights reserved.
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
© 2014 4Copyrights © Yole Développement SA. All rights reserved.
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.
© 2014 5Copyrights © Yole Développement SA. All rights reserved.
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.
© 2014 6Copyrights © Yole Développement SA. All rights reserved.
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
© 2014 7Copyrights © Yole Développement SA. All rights reserved.
Methodology (2/2)
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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
© 2014 9Copyrights © Yole Développement SA. All rights reserved.
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
© 2014 10Copyrights © Yole Développement SA. All rights reserved.
Mapping of Current IP HoldersActive
Devices
© 2014 11Copyrights © Yole Développement SA. All rights reserved.
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.
© 2014 12Copyrights © Yole Développement SA. All rights reserved.
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
© 2014 13Copyrights © Yole Développement SA. All rights reserved.
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
© 2014 14Copyrights © Yole Développement SA. All rights reserved.
Samsung Samsung Display Devices, Samsung Electro Mechanics, Samsung Electronics, Samsung LED,
Samsung Corning Precision Materials
© 2014 15Copyrights © Yole Développement SA. All rights reserved.
© 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.
© 2014 16Copyrights © Yole Développement SA. All rights reserved.
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.
© 2014 17Copyrights © Yole Développement SA. All rights reserved.
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
© 2014 18Copyrights © Yole Développement SA. All rights reserved.
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
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