microbattery patent landscape analysis 2016 report published by yole developpement

MICROBATTERYPatent Landscape Analysis

September 2016

IP and Technology Intelligence

2405 route des Dolines, 06902 Sophia Antipolis, FranceTel: +33 489 89 16 20

Web: http://www.knowmade.com

2© 2016 All rights reserved | www.knowmade.com

Microbattery - Patent Landscape Analysis | September 2016

TABLE OF CONTENTS

INTRODUCTION 4Scope of the reportKey features of the reportObjectives of the reports

METHODOLOGY 10Patent search, selection and analysisSearch equationsPatent segmentationTerminologies for patent analysis

NOTEWORTHY NEWS 18

EXECUTIVE SUMMARY 20

PATENT LANDSCAPE OVERVIEW 33Time evolution of patent publicationsMain patent assigneesTime evolution of patent assigneesLegal status of patentsIP collaboration networkMapping of patenting activityTime evolution of patent applications by countryCountries of patent filings for main patent assigneesMapping of main current patent holdersMapping of main current patent applicantsKey patent assignees

Summary of patent portfolios of main assigneesIP competitors dependency by citationsMost cited patentsGranted patents near expiration dateIP specialization degree of key playersIP leadership of key playersPrior art strength index of key playersIP blocking potential of key players

PATENT LITIGATION 58

IP PROFILE OF KEY PLAYERS 60CymbetPolyPlus BatteryPanasonicInfinite Power SolutionsFront Edge TechnologyCEAJohnson Battery TechnologiesI-TENApplied MaterialsST Microelectronics

For each player:Company presentationSummary of the patent portfolioKey patents

PATENT SEGMENTATION 101Mapping of Key Players for Battery Technologies and DesignsMapping of Key Players for Battery ComponentsMapping of Key Players for Types of claims and ProcessmethodsMatrix Main Patent Assignees v.s. Technical Segments

Focus on key segments:Type of claimed inventionBattery technologiesBattery designsBattery components (electrodes, electrolytes, barrierlayers, packaging, non-active parts)Process methods (sputtering, evaporation, CVD,PVD, ALD, spraying, printing electrodeposition …)Apparatus

For each segment:Main patent assigneesTime evolution of patent applicationsTechnology evolutionMost cited patents

CONCLUSION 197

KNOWMADE PRESENTATION 209



THE AUTHORS

Knowmade is a Technology Intelligence and IP Strategyconsulting company specialized in analysis of patents andscientific information. The company supports R&Dorganizations, industrial companies and investors in theirbusiness development by helping them to understandtheir IP environment and follow technology trends.Knowmade is involved in Microelectronics &Optoelectronics, Compound Semiconductors, ICManufacturing & Advanced Packaging, Power & RFDevices, MEMS & Sensors, Photonics, Micro &Nanotechnology, Biotech/Pharma, MedTech & MedicalDevices. Knowmade provides Prior art search, PatentLandscape Analysis, Patent Valuation, Freedom-to-Operate Analysis, Litigation/Licensing support, ScientificLiterature Landscape, Technology Scouting andTechnology Tracking. Knowmade combines informationsearch services, technology expertise, powerful analyticstools and proprietary methodologies for analyzingpatents and scientific information. Knowmade’s analystshave an in-depth knowledge of scientific & patentdatabases and Intellectual Property.We Know Technology, We Know Patents

Dr. Nicolas BaronNicolas is CEO and co-founder of Knowmade. Heleads the Physics Department. He holds a PhD inPhysics from the University of Nice Sophia-Antipolis, and a Master of Intellectual PropertyStrategies and Innovation from the EuropeanInstitute for Enterprise and Intellectual Property(IEEPI Strasbourg), France.Contact: [email protected]

Dr. Fleur ThissandierFleur works for Knowmade in the field ofMicroelectronics and Chemistry. She holds a PhD inMaterial Chemistry and Electrochemistry fromCEA/INAC, Grenoble, France. She also holds aChemistry Engineering Degree from the SuperiorNational School of Chemistry (ENSCM), Montpellier,FranceContact: [email protected]

© 2016 All rights reserved | www.knowmade.com

INTRODUCTION



INTRODUCTIONScope of the Report

• This report provides a detailed picture of the patent landscape for Microbattery Technologies (micro-batteries and solid thin film batteries).• This report covers patents published worldwide up to May 2016.• We have selected and analyzed more than 3,000 patents and patent applications (900+ patent families) relevant to the scope of this report.

Included in the report Not included in the report

•Patents mentioning micro-battery or solid thin film battery as a part of adevice without describing its manufacture.•Patents on electrodes or electrolytes in which their specific use in micro-batteries or solid thin film batteries is not described.•Patents related to thin film batteries with liquid electrolytes and solid

batteries without 3D or thin film electrodes and a thin layer of electrolyte.

•Patents related to micro-batteries and solid thin film batteries.

Micro-scaled in at least one dimension



INTRODUCTIONKey Features of the Report (1/2)

• The report provides essential patent data for Micro-Batteries and Solid Thin Film Batteries.

• It identifies more than 20 major patent holders and it provides in-depth IP analysis of key technical segment and keyplayers 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.

– Matrix applicants/technology issues for more than 20 companies.

• The Micro-batteries IP profile of 10 major companies is presented, including key patents, recent patented technologies,technological issues, partnerships, last market news.



INTRODUCTIONKey Features of the Report (2/2)

• The report provides an extensive Excel database with all patents analyzed in the report.

This useful patent database allows multi-criteria searches:

- Patent publication number

- Hyperlinks to the original documents

- Priority date

- Title

- Abstract

- Patent Assignees

- Segmentation

- Legal status for each member of the patent family

• This report does not provide any insight analyses or counsel regarding legal aspects or the validity of any individualpatent. Knowmade is a research firm that provides technical analysis and technical opinions. Knowmade is not a law firm.The research, technical analysis and/or work proposed or provided by Knowmade and contained herein is not a legalopinion and should not be construed as such.



INTRODUCTIONObjectives of the Report

Objectives of this patent landscape is to:

Understand the IP landscape for Micro-batteries.

Identify key patents.

Understand trends in Micro-batteries IP and future technological choices.

Identify the major IP players in Micro-batteries and the relative strength of their patent portfolio.

Identify newcomers in Micro-batteries.

Identify IP collaboration networks between key players.

Identify main patent litigations.


METHODOLOGY



• The data were extracted from the FamPat worldwide database (Questel-ORBIT) which provides 80+ million patent documents from95 offices.

• The search for patent was performed in May 2016 hence patents published after this date will not be available in this report.

• The patents were grouped by patent family. A patent family is a set of patents filed in multiple countries to protect a single inventionby a common inventor(s). A first application is made in one country – the priority country – and is then extended to other countries.

• The selection of the patents has been done both automatically and manually (all details in next slides).

• The statistical analysis was performed with Orbit IP Business Intelligence web based patent analysis software from Questel.

• The patents were manually categorized in technical segments using keyword analysis of patent title, abstract and claims, inconjunction with expert review of the subject-matter of inventions (all details in next slides).

• For legal status of European (EP) and PCT (WO) patent applications, EPO Register Plus has been used. For legal status of US patents,USPTO PAIR has been used. For legal status of other patents, information have been gotten from their respective national registers.

METHODOLOGYPatent Search, Patent Selection, Patent Analysis (1/2)

Number of selected patent families for the Micro-batteries IP Investigation:912 over a number of returned results > 6,600



METHODOLOGYPatent Search, Patent Selection, Patent Analysis (1/2)

Keywords and term-set definition

Search equations / Search strategy

Manual screening of the results

Patent classification

Relevant Non relevant

Refine search using IPC classes and

citations analysis

Patent Segmentation

Patent Analysis

Segmentation improved during patent analysis

Landscape Overview

In-depth analysis of Key Technology Segments

and Key Players

Patent Ranking and Key Patents analysis

Phase I

Phase II

Phase III



METHODOLOGYPatent SegmentationFor each segment, the numbers representthe numbers of patent families.Note that a patent can be found in severalcategories.

Types of claims- Pure products- Method and products by method- Apparatus

Processes methods-CVD_Chemical Vapour Deposition-ALD_Atomic Layer Deposition-PVD_Physical Vapour Deposition-Sputtering-Evaporation-Electrodeposition-Electrophoresis-Sol-gel-Print-Spray

Battery designs-Micro-batteries-Flexible batteries-Thin Film batteries-Other battery designs-3D batteries

-Stacked in the same packaging-Multi-layers-3D-electrodes or substrate

Battery components

Electrolytes

Solid electrolytes- Li3N- LiPON- LixPOy

Polymer or gelled electrolytesOther electrolytes

Non-active parts

Barrier LayersPackaging

Electrodes

Cathode- LiCoO2

- LiTiOS- Oxides materials for cathodes- LiFePO4

- TiS2

Anode- Li metal- Silicon or Germanium- Carbon- Oxides for anodes

Microbatterypatent families

900+790+

900+

880+

730+

790+

520+ 590+ 330+

Battery Technologies- Primary Lithium batteries- Secondary Lithium batteries- Primary Non-Lithium batteries- Secondary Non-Lithium batteries

Knowmade © 2016



NOTEWORTHY NEWS

2016, I-TEN raised 10M€ from Innovacom Gestion , Demeter Partners and Rhone-Alpes Creation Viveris Venture. The company alreadyraised 3.2M€ in 2014.

2016, Cymbet Corporation announced that it has completed a recapitalization and restructuring of the company in connection with a$10 million-plus equity investment led by Dallas, TX-based Island Shore Investments (ISI). This significant investment and restructuringwill fund the production and introduction of new products and provide additional working capital to expand Cymbet’s business in keymarkets. The announced financing is the first part of a two-part funding round, the second portion totalling $5-7 million, which is to becompleted in the first half of 2016.

2016, CEA-LETI joined the Stanford System X Alliance and signed a new agreement with Intel to develop microelectronic components.

2016, Philips announced that it will commercialise 5 connected devices for health applications.

2016, STMicroelectronics acquired assets on RFID and NFC from AMS group.

2016, Fraunhofer IZM opens a new microbattery prototype fabrication line based on precision screen-printing. Current developments atthe Fraunhofer IZM reach a minimum size of 2 x 2 mm2 with a diameter of only 2 mm and a thickness of 200 μm.

2015, Dyson acquired SAKTI3, an American start-up incorporated in 2007 as a spin-off from University of Michigan.

2015, a patent on “Contact lenses with hybrid power sources” filed by Google was published (WO2015137937).


PATENT LANDSCAPE OVERVIEW



PATENT LANDSCAPE OVERVIEWTime Evolution of Patent Publications

Note: The data corresponding to theyear 2016 is not complete since thepatent search was done in May 2016.

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PATENT LANDSCAPE OVERVIEWMain Patent Assignees



PATENT LANDSCAPE OVERVIEWTime Evolution of Patent Assignees

RankingFor each year, the numbersrepresent the numbers ofpatent families.

Note: The data corresponding to the year 2014, 2015 and2016 may not be complete since most patents filed duringthese years are not published yet.

Last patent applications before 2005Slowing patent applications since 2005

No patent application since 2010First patent application after 2005

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PATENT LANDSCAPE OVERVIEWCountries of Patent Filing for Main Patent Assignees

Countries are defined by the country code from the patentnumbers. The number represents number of published patentfamilies. Note that PCT (Wo) and European (EP) applications mayhide other countries that are not yet published.



PATENT LANDSCAPE OVERVIEWMapping of Main Current Patent Holders

Number of patent families*containing granted patents inthe corresponding country.

* A patent family is a set of patents filed inmultiple countries by a common inventor(s) toprotect a single invention.

Knowmade © 2016



PATENT LANDSCAPE OVERVIEWPatent Portfolio Summary of Main Patent Assignees

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PATENT LANDSCAPE OVERVIEWMost Cited Granted Patents

Ranking

* Expected Expiration Date is dependent on the accuracy and timeliness of the information provided by the patent offices. This indicator may change at any time without notice based on new information received from

the patent offices. No decision should be made based solely on this indicators.



PATENT LANDSCAPE OVERVIEWMain Assignees IP Leadership

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PATENT LANDSCAPE OVERVIEWMain Assignees IP Blocking potential

The more the number of forward citations from different patent applicants is high, the more thecapacity to hamper the other firms’ attempts to patent a related invention is important.Note: This graph is at patent family level. The identification of a “blocking patent” requires an in-depth specific analysis ofeach patent documents composing the patent families.

Knowmade © 2016


IP PROFILE OF KEY PLAYERS



CEA (French Alternative Energies and Atomic Energy Commission)Company Profile

• The French Alternative Energies and Atomic Energy Commission or CEA, is a French public government-funded research organization in the areas of energy,defense and security, information technologies and health technologies. It maintains a cross-disciplinary culture of engineers and researchers, building on thesynergies between fundamental and technological research. It is divided into 5 divisions: Nuclear energy (DEN), Technological research (DRT), Life sciences(DSV), Sciences of matter (DSM) and Military applications (DAM). Research on micro-batteries in CEA is now performed in LETI, the CEA institute specialized inmicro-electronic devices. CEA has created more than 150 start-ups in about 20 years, such as SOITEC, Alchimer (renamed Aveni), Crocus Technology, Tronics,ISORG, Microoled, Movea, Enerbee, EnWires …

• CEA doesn’t commercialize products but it produces prototypes. It focuses on R&D for micro-batteries (materials, process methods…). It has a special processplatform to product prototypes in condition near from the one of production. This platform is composed of about 30 manufacturing devices, including PVD-CVD apparatus. CEA-LETI has a partnership with ST Microelectronics to develop their micro-batteries pilot line in Tours. In 2016, CEA-LETI joined the StanfordSystem X Alliance and signed a new agreement with Intel to develop microelectronic components.

• Large scale and miniaturized fuel cells, scale Li-ion batteries and new batteries technologies, such as Na-ion battery, all organic battery, Li-Air battery or Li-Sbattery, printed electronic, photovoltaic devices … are also developed in CEA in LITEN, CEA’s institute specialized in energy storage and collecting devices.

Source: CEA Source: CEA Source: CEA Source: CEA

2008: Wafer 150mm50 batteries / wafer





CEA (French Alternative Energies and Atomic Energy Commission)Patent Portfolio Summary



CEA (French Alternative Energies and Atomic Energy Commission)Key Patents


PATENT SEGMENTATION



PATENT SEGMENTATIONMapping of Key Players for Battery Technologies and Designs

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PATENT SEGMENTATIONMapping of Key Players for Battery Components

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PATENT SEGMENTATIONMatrix Main Patent Assignees v.s. Technical Segments

For each segment, the numbers represent the numbers of patent familiesRanking


Battery Technologies



BATTERY TECHNOLOGIESPrinciple of a Lithium Battery

• Lithium battery is operating thanks to the electrochemical couple Li+/Li.Anode material is either in Lithium metal or materials which can reversibly intercalate or form an alloy with Lithium.Cathode material can reversibly liberate Lithium ion.

• During the charge, cathode material is oxidized and liberates Lithium ions which move to the anode through the electrolyte and electrochemicallyreact with the anode material via a reduction reaction. Depending on the anode material, Lithium ions are intercalated into the anode material orform an alloy with it.

• During the discharge, the opposite process occurs. Anode material, which contains Lithium, is oxidized. Lithium ions are liberated, move throughthe electrolyte and electrochemically react with the cathode material via a reduction reaction.

• Examples of reduction and oxidation reactions associated to the charge and discharge of a Lithium battery are presented below.

Example for Li/LiCoO2

ChargeAnode: Li+ + e- -> LiCathode: LiCoO2 -> CoO2 + Li+ + e-

DischargeAnode: Li -> Li+ + e-

Cathode: CoO2 + Li+ + e- -> LiCoO2

Li (metal) ElectrolyteInsertion compound

Example for M/LiCoO2M is a material which can insert or form an alloy with Li

ChargeAnode: Li+ + e- -> <LiM>Cathode: LiCoO2 -> CoO2 + Li+ + e-

DischargeAnode: <LiM> -> Li+ + e- + <M>Cathode: CoO2 + Li+ + e- -> LiCoO2

ElectrolyteInsertion compound

Insertion compound



BATTERY TECHNOLOGIESPatents Split by Type of Technology

Lithium Non-Lithium

No of patent families by type of battery technologies

Secondary battery

Primary and secondary battery

Primary battery

Spe

cifi

cP

ow

er

De

nsi

ty, W

/kg

Specific Energy Density, W/kg

Zn/MnO2

Source: Saft

• This Ragone plot represents the specific energy and power for several batteriestechnologies. It stands for all battery sizes. The specific energy is linked to themaximal duration of the discharge (.e. the autonomy) and the specific power to theamount of energy which can be delivered in a short time.

• It can be noticed that Lithium batteries covers the larger range of Specific Energy andPower density. For power density higher than 10W/kg, Lithium batteries have higherenergy density than other battery technologies, i.e. the best theoretical autonomy. Itexplains why Lithium Batteries are the main battery technology patented inmicrobattery field.

• The segment «Primary and Secondary Battery» stands for patent familiesreferring to both primary and secondary batteries.

• In the segment «Non-Lithium Battery», there are XX patent families withunspecified battery technology (XX patent families for secondary battery, XXpatent families for secondary and primary batteries and XX patent families forprimary batteries).

• Primary non-Lithium batteries are mainly XX batteries. Primary and Secondarynon-Lithium batteries are mainly XX batteries. Secondary non-Lithium batteriesare mainly XX Batteries

Ragone plot for several battery technologies

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Battery Designs



BATTERY DESIGNSSearch Equations

Battery designs:• Micro-batteries: Batteries have a micro-scale size. The term “micro-battery” or “microbattery” is clearly mentioned in the title, abstract or claims of the patent.• Flexible Batteries: Batteries are flexible. The term “Flexible” is clearly mentioned in the title, abstract or claims.• Thin film Batteries: Batteries electrodes and solid electrolyte layer are thin films. The term “Thin Film” is clearly mentioned in the title, abstract or claims.• 3D-Batteries: Batteries are built in three dimensions: Batteries stacked in the same package, multi-layers battery and battery built with 3D electrodes or substrates. Examples of 3D-

batteries are shown on the next page. Terms associated to “three dimensions” are clearly mentioned in the title, abstract or claims.• Other battery designs: It gathers patent families which don’t mention the battery design and those which are not in the segments « micro-batteries », « flexible batteries », « thin

film batteries » and « 3D-batteries ».

Note that a patent family can belong to several categories.



BATTERY DESIGNSExamples for 3D-batteries Sub-segments



BATTERY DESIGNSEvolution of the Design for 3D–Electrodes/Substrates (2/3)



Excel Databasewith all patents analyzed in the report with technology segmentation

This database allows multi-criteria searches and includes patent publication number, hyperlinks to theoriginal documents, priority date, title, abstract, patent assignees, technological segments and legalstatus for each member of the patent family.



CONTACT

o Consulting and Specific Analysis

– North America: Steve LaFerriere, Director of Northern America Business Development, Yole Inc.Email: [email protected]

– Europe: Lizzie Levenez, Europe Middle East and Africa Business Development Manager, Yole DéveloppementEmail: [email protected]

– Japan: Takashi Onozawa, General Manager, Yole Japan & President, Yole K.K.Email: [email protected]

– RoW: Jean-Christophe Eloy, President & CEO, Yole DéveloppementEmail: [email protected]

o Report business

– North America: Steve LaFerriere, Director of Northern America Business Development, Yole Inc.Email: [email protected]

– Europe: Fayçal El Khamassi, Headquarter Sales Coordination & Customer Service Email: [email protected]

– Japan & Asia: Takashi Onozawa, Sales Asia & General Manager, Yole K.K.Email: [email protected]

o Financial services

– Jean-Christophe Eloy, CEO & PresidentEmail: [email protected]

o General: Email: [email protected]

Patent Landscape Analysis – September 2016

MICROBATTERYPatent Landscape Analysis

A starting market attracting many players from various industries ; Who owns the key patents?

REPORT OUTLINE• Microbattery• Patent Landscape Analysis• September 2016• PDF (200+ slides)• Excel file (3,000+ patents)• €5,990 (Multi-user license)

KEY FEATURES OF THE REPORT• IP trends including time evolutions

and countries of patent filings• Current legal status of patents• Ranking of main patent applicants• Joint developments and IP

collaboration network of mainpatent applicants

• Key patents and granted patentsnear expiration

• Relative strength of maincompanies’ IP portfolios

• Matrix showing patent applicantsand their patented technologies

• Segmentation of patents by- Technology (primary and secondary

batteries w/o lithium)- Design (microbatteries, solid thin

film, flexible, 3D …)- Components/materials (anode,

cathode, electrolyte, barrier layer,

packaging …)- Manufacturing method (CVD, ALD,

PVD, sputtering, electrodeposition,

electrophoresis, sol-gel, print, spray …)- Claimed invention (method,

product, apparatus)• Microbattery IP profiles of 10 major

companies, with key patents,technological issues, partnerships, IPstrength, IP strategy and latestmarket news

• Excel database with all patentsanalyzed in the report (3000+patents), including technologysegmentation

Find all our reports on www.knowmade.comwww.i-micronews.com

MICROBATTERIES IP DYNAMICS HERALDS A FUTURE RAMP-UP OF THE MARKET

We have investigated the patent landscape of microbatteries (micro-sized, solid thin film,flexible, 3D). More than 900 patented inventions related to microbatteries have beenpublished worldwide up to May 2016 by more than 300 patent applicants.The development in microbattery field is intimately linked to batteries, microelectronics andnanomaterials fields. New battery technologies, electrodes and electrolytes materialsdeveloped for batteries in general could be adapted to microbatteries. The first solid thin filmbattery was a lead battery patented in 1965 by Melpar (USA). Since 1980’s, patentedmicrobatteries have been mainly lithium batteries. In early 1980’s, Hitachi/Hitachi-Maxellpatented the first Lithium solid thin film batteries. They leaned on their knowledges andprocesses on batteries and thin film deposition. In 1992, Bates and his team at Oak RidgeNational Laboratory (ORNL) patented the sputter-based, all solid state battery utilizing theelectrolyte LiPON (US 5,338,625). The patenting activity on microbatteries really took off overthe 1998-2002 period with the creation of pure play microbattery companies (Cymbet,Polyplus Batteries, Infinite Power Solutions, Johnson Battery Technology, Front EdgeTechnology) and the IP involvement of Panasonic and CEA (French Research Laboratory).

Today, micro-sized batteries are only commercialized by few companies (PowerPaper,Cymbet, Infinite Power Solutions and ST Microelectronics) while Johnson Battery Technology,Front Edge Technology and I-TEN are evaluating their microbattery prototypes and plan tocommercialize them within two years.Currently, microbattery market is small but it should grow up within the next years, from $7min 2015 to more than $400m in 2026 according to several published market studies. Newpatent applicants from various industries are looking to this starting market(STMicroelectronics, Infineon, Applied Material, Ulvac). The recent mergers and acquisitions(Apple/Infinite Power Solutions, Dyson/SAKTI3) reflect a thriving sector in transformation.Today, the number of enforceable patents has reached a critical level worldwide, severalcompanies stand out by their strong IP position, and the first patent litigations have recentlyappeared. In this emerging market, a strong intellectual property (IP) position is essential forcompanies to grow their microbatteries business. It is crucial to understand the global patentlandscape through in depth analyses, in order to anticipate changes, harvest businessopportunities, mitigate risks and make strategic decisions to strengthen one’s market positionand maximize return on one’s IP portfolio.

Distributed by

Microbattery IP dynamics

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KNOW THE IP POSITION OF KEY PLAYERS

PATENTED TECHNOLOGY AND IP STRATEGY

The 900+ patented inventions selected for this studyhave been categorized by technology segments:battery technologies (primary/secondary batteries,batteries w/o lithium…), battery designs(microbatteries, solid thin film batteries, flexiblebatteries, 3D batteries…), battery components(electrodes, electrolytes, packaging, barrier layers…)and used materials, and manufacturingmethods/apparatus (CVD, ALD, PVD, sputtering,electrodeposition, electrophoresis, sol-gel, print,spray). A focus has been done on electrodes andelectrolytes materials, manufacturing methods and3D-batteries. For each segment, the report includesthe IP dynamics of patent applications and a rankingof the main patent assignees. We describe therecent patented technologies in microbattery field,and we reveal the IP strategy and the technicalchoices of the main patent assignees.

USEFUL PATENT DATABASE (3,000+ patents)

Our report also includes an Excel database containing the 3,000+ patents analyzed in the study. This useful patent database allows formulti-criteria searches and includes patent publication number, hyperlinks to the original documents, priority date, title, abstract,patent assignees, technological segments and legal status for each member of the patent family.

More than 300 patent applicants are involved inmicrobattery IP landscape. CEA is the mainpatent holder around the world and is still veryactive in this field. But according to our analysis,Cymbet, Polyplus Battery, Infinite PowerSolutions (acquired by Apple in 2013) andPanasonic have the strongest patent portfolioswith a real IP blocking potential.The report provides a ranking and analysis of therelative strength of the top patent holdersderived from their portfolio size, patent citationnetworks, countries of patent filings and currentlegal status of patents. We reveal the IP strengthof key microbattery players and depict theircompetitive positioning.

A second wave of patent publications started in 2007, mainly originating from semiconductor manufacturers (Semiconductor EnergyLaboratory, Sumitomo) and equipment suppliers (Applied Materials, Ulvac). Currently, more than 800 patents are granted, mainly inUSA and Japan, and more than 750 patent applications are pending, mainly in Europe and USA. Overall, patent filings peaked in 2013,and seem to have been slowing down since then. Meanwhile, granted patents worldwide should increase after successful processingof the numerous pending patent applications. We believe the significant ratio of patents in force and the large number of patentapplications still in the pipeline worldwide is an indication of the technology maturity heralding a future ramp-up of the microbatterymarket.

In our analysis, we have identified 10 key players: Cymbet, PolyPlus Battery, Panasonic, Infinite Power Solutions, CEA, Johnson BatteryTechnology, Front Edge Technology, Applied Materials, I-TEN and ST Microelectronics. For each one, we provide a microbattery IPprofile including dynamics and main countries of filing of their patent applications, key features of their patent portfolio, IP strength,collaboration network and key patents.

Patent differentiation of key playersin microbattery domain

Note: All segment details and IP players are given in the report

Knowmade © 2016

IP blocking potential of patent assigneesin microbattery technology

Note: All IP player positions are given in the report

Knowmade © 2016

Microbattery Patent Landscape Analysis – September 2016

TABLE OF CONTENT

ABOUT KNOWMADEKnowmade is a Technology Intelligence and IP Strategy consulting company specialized in analysis of patents and scientific information.The company supports R&D organizations, industrial companies and investors in their business development by helping them tounderstand their IP environment and follow technology trends. Knowmade is involved in Microelectronics & Optoelectronics, CompoundSemiconductors, IC Manufacturing & Advanced Packaging, Power & RF Devices, MEMS & Sensors, Photonics, Micro & Nanotechnology,Biotech/Pharma, MedTech & Medical Devices. Knowmade provides Prior art search, Patent Landscape Analysis, Patent Valuation,Freedom-to-Operate Analysis, Litigation/Licensing support, Scientific Literature Landscape, Technology Scouting and TechnologyTracking. Knowmade combines information search services, technology expertise, powerful analytics tools and proprietarymethodologies for analyzing patents and scientific information. Knowmade’s analysts have an in-depth knowledge of scientific & patentdatabases and Intellectual Property.We Know Technology, We Know Patents

Dr Fleur Thissandier works for Knowmade inthe field of Microelectronics and Chemistry.She holds a PhD in Chemistry of Materials andElectrochemistry from CEA/INAC, Grenoble,France. She also holds a ChemistryEngineering Degree from the SuperiorNational School of Chemistry (ENSCM),Montpellier, [email protected]

Dr Nicolas Baron is CEO and co-founder ofKnowmade. He leads the Physics Department.He holds a PhD in Physics from the Universityof Nice Sophia-Antipolis, plus a UniversityDiploma in Intellectual Property Strategy andInnovation from the European Institute forEnterprise and Intellectual Property (IEEPIStrasbourg), [email protected]

AUTHORS

COMPANIES CITED IN THE REPORT (NON-EXHAUSTIVE)A123Systems, Applied Materials, CEA, Cymbet, Fraunhofer, Front Edge Technology, Fujitsu, Geomatec, GS Energy, GS Nanotech,Hitachi-Maxell, Hongfujin precision industry, Illika Technologies, Infineon Technologies, Infinite Power Solutions, I-TEN, Johnson BatteryTechnology, Johnson & Johnson, KIST, MIT, NXP, Panasonic, Philips, PolyPlus Battery, PowerPaper, Robert Bosch, SAKTI3, Sony,Semiconductor Energy Laboratory, ST Microelectronics, Sumitomo, Tel Aviv University, Toshiba, Toyota, Ulvac, Varta …

INTRODUCTION 4Scope of the reportKey features of the reportObjectives of the reports

METHODOLOGY 10Patent search, selection and analysisSearch equationsPatent segmentationTerminologies for patent analysis

NOTEWORTHY NEWS 18

EXECUTIVE SUMMARY 20

PATENT LANDSCAPE OVERVIEW 33Time evolution of patent publicationsMain patent assigneesTime evolution of patent assigneesLegal status of patentsIP collaboration networkMapping of patenting activityTime evolution of patent applications by countryCountries of patent filings for main patent assigneesMapping of main current patent holdersMapping of main current patent applicantsKey patent assigneesSummary of patent portfolios of main assigneesIP competitors dependency by citationsMost cited patentsGranted patents near expiration date

IP specialization degree of key playersIP leadership of key playersPrior art strength index of key playersIP blocking potential of key players

PATENT LITIGATION 58

IP PROFILE OF KEY PLAYERS 60CymbetPolyPlus BatteryPanasonicInfinite Power SolutionsFront Edge TechnologyCEAJohnson Battery TechnologiesI-TENApplied MaterialsST Microelectronics

For each player: Company presentationSummary of the patent portfolioKey patents

PATENT SEGMENTATION 101Mapping of Key Players for Battery Technologies and DesignsMapping of Key Players for Battery ComponentsMapping of Key Players for Types of claims and Process methodsMatrix Main Patent Assignees v.s. Technical Segments

Focus on key segments: Type of claimed invention Battery technologiesBattery designsBattery components (electrodes, electrolytes, barrier layers, packaging, non-active parts)Process methods (sputtering, evaporation, CVD, PVD, ALD, spraying, printing, electrodeposition, sol-gel, electrophoretic deposition) Apparatus

For each segment:Main patent assigneesTime evolution of patent applicationsTechnology evolutionMost cited patents

CONCLUSION 197

KNOWMADE PRESENTATION 209

Microbattery Patent Landscape Analysis – September 2016

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Date:

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Signature :

I hereby accept Yole’s Terms and Conditions of Sale (1)

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(1) Our Terms and Conditions of Sale are available on www.yole.fr/pagesAn/company/conditions.aspx

SHIP TO

ABOUT YOLE DEVELOPPEMENT

First Name: .................................................................. Last Name: ............................................................................

Email:............................................................................ Phone:.....................................................................................

Founded in 1998, Yole Développement has grown to become a group of companies providing marketing, technology and strategyconsulting, media and corporate finance services. With a strong focus on emerging applications using silicon and/or micromanufacturing, the Yole Développement group has expanded to include more than 50 collaborators worldwide covering MEMS,Compound Semiconductors, LED, Image Sensors, Optoelectronics, Microfluidics & Medical, Advanced Packaging, Manufacturing,Nanomaterials, Power Electronics and Batteries & Energy Management.The “More than Moore” company Yole, along with its partners System Plus Consulting, Blumorpho and KnowMade, support industrialcompanies, investors and R&D organizations worldwide to help them understand markets and follow technology trends to grow theirbusiness.

CUSTOM STUDIES• Market data & research, marketing analysis• Technology analysis• Reverse engineering & costing services• Strategy consulting• Patent analysisMore information on www.yole.fr

MEDIA• i-Micronews.com, online disruptive technologies website and its weekly e-newsletter, @Micronews• Communication & webcasts services• Events: Yole Seminars, Market BriefingsMore information onhttp://www.i-micronews.com/media-kit.html

TECHNOLOGY & MARKET REPORTS• Collection of technology & market reports• Manufacturing cost simulation tools• Component reverse engineering & costing analysis• Patent investigationMore information onhttp://www.i-micronews.com/reports.html

CREDIT CARD:

Name of the Card Holder: Credit Card Number: Card Verification Value (3 last digits except AMEX: 4 last digits) : Expiration date:

BY BANK TRANSFER:BANK 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 DEVELOPPEMENT,

Le Quartz,75 cours Emile Zola, 69100 Villeurbanne, France

CONTACT:• Japan: Miho - [email protected]• Greater China: Mavis - [email protected]• Asia: Takashi - [email protected]• EMEA: Lizzie - [email protected]• North America: Steve – [email protected]• General: [email protected]

The present document is valid till May 15, 2017

Visa Mastercard Amex

PAYMENT

in One User License EUR 4,990* in Multi Users License EUR 5,990*

*For price in dollars please use the day’s exchange rate . All reports are delivered electronically. For French customer, add 19,6 % for VAT

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http://www.i-micronews.com/media-kit.html

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TERMS AND CONDITIONS OF SALES

. Definitions: “Acceptance”: Action by which the Buyer accepts the terms and conditions of sale in their entirety. It is done by signing the purchase order which mentions “I hereby accept Yole’s Terms and Conditions of Sale”.

“Buyer”: Any business user (i.e. any person acting in the course of its business activities, for its business needs) entering into the following general conditions to the exclusion of consumers acting in their personal interests.

“Contracting Parties” or “Parties”: The Seller on the one hand and the Buyer on the other hand.

“Intellectual Property Rights” (“IPR”) means any rights held by the Seller in its Products, including any patents, trademarks, registered models, designs, copyrights, inventions, commercial secrets and know-how, technical information,

company or trading names and any other intellectual property rights or similar in any part of the world, notwithstanding the fact that they have been registered or not and including any pending registration of one of the above

mentioned rights.

“License”: For the reports and databases, 3 different licenses are proposed. The buyer has to choose one license:

• One user license: one person at the company can use the report.

• Multi-user license: the report can be used by unlimited users within the company. Subsidiaries and Joint-Ventures are not included.

• Corporate license: purchased under “Annual Subscription” program, the report can be used by unlimited users within the company. Joint-Ventures are not included.“Products”: Depending on the purchase order, reports or database on MEMS, CSC, Optics/MOEMS, Nano, bio… to be bought either on a unit basis or as an annual subscription. (i.e. subscription for a period of 12 calendar months).

The annual subscription to a package (i.e. a global discount based on the number of reports that the Buyer orders or accesses via the service, a global search service on line on I-micronews and a consulting approach), is defined in

the order. Reports are established in PowerPoint and delivered on a PDF format and the database may include Excel files.

“Seller”: Based in Lyon (France headquarters), Yole Développement is a market research and business development consultancy company, facilitating market access for advanced technology industrial projects. With more than 20

market analysts, Yole works worldwide with the key industrial companies, R&D institutes and investors to help them understand the markets and technology trends.

1. Scope

1.1 The Contracting Parties undertake to observe the following general conditions when agreed by the Buyer and the Seller. ANY ADDITIONAL, DIFFERENT, OR CONFLICTING TERMS AND CONDITIONS IN ANY OTHER

DOCUMENTS ISSUED BY THE BUYER AT ANY TIME ARE HEREBY OBJECTED TO BY THE SELLER, SHALL BE WHOLLY INAPPLICABLE TO ANY SALE MADE HEREUNDER AND SHALL NOT BE BINDING IN ANY WAY ON

THE SELLER.

1.2 This agreement becomes valid and enforceable between the Contracting Parties after clear and non-equivocal consent by any duly authorized person representing the Buyer. For these purposes, the Buyer accepts these

conditions of sales when signing the purchase order which mentions “I hereby accept Yole’s Terms and Conditions of Sale”. This results in acceptance by the Buyer.

1.3 Orders are deemed to be accepted only upon written acceptance and confirmation by the Seller, within [7 days] from the date of order, to be sent either by email or to the Buyer’s address. In the absence of any confirmation in

writing, orders shall be deemed to have been accepted.

2. Mailing of the Products

2.1 Products are sent by email to the Buyer:

- within [1] month from the order for Products already released; or

- within a reasonable time for Products ordered prior to their effective release. In this case, the Seller shall use its best endeavours to inform the Buyer of an indicative release date and the evolution of the work in progress.

2.2 Some weeks prior to the release date the Seller can propose a pre-release discount to the Buyer

The Seller shall by no means be responsible for any delay in respect of article 2.2 above, and including incases where a new event or access to new contradictory information would require for the analyst extra time to compute or

compare the data in order to enable the Seller to deliver a high quality Products.

2.3 The mailing of the Product will occur only upon payment by the Buyer, in accordance with the conditions contained in article 3.

2.4. The mailing is operated through electronic means either by email via the sales department or automatically online via an email/password. If the Product’s electronic delivery format is defective, the Seller undertakes to replace it at

no charge to the Buyer provided that it is informed of the defective formatting within 90 days from the date of the original download or receipt of the Product.

2.5 The person receiving the Products on behalf of the Buyer shall immediately verify the quality of the Products and their conformity to the order. Any claim for apparent defects or for non-conformity shall be sent in writing to the

Seller within 8 days of receipt of the Products. For this purpose, the Buyer agrees to produce sufficient evidence of such defects. .

2.6 No return of Products shall be accepted without prior information to the Seller, even in case of delayed delivery. Any Product returned to the Seller without providing prior information to the Seller as required under article 2.5 shall

remain at the Buyer’s risk.

3. Price, invoicing and payment

3.1 Prices are given in the orders corresponding to each Product sold on a unit basis or corresponding to annual subscriptions. They are expressed to be inclusive of all taxes. The prices may be reevaluated from time to time. The

effective price is deemed to be the one applicable at the time of the order.

3.2 Yole may offer a pre release discount for the companies willing to acquire in the future the specific report and agreeing on the fact that the report may be release later than the anticipated release date. In exchange to this

uncertainty, the company will get a discount that can vary from 15% to 10%.

3.3 Payments due by the Buyer shall be sent by cheque payable to Yole Développement, credit card or by electronic transfer to the following account:

HSBC, 1 place de la Bourse 69002 Lyon France

Bank code: 30056

Branch code: 00170

Account n°: 0170 200 1565 87

BIC or SWIFT code: CCFRFRPP

IBAN: FR76 3005 6001 7001 7020 0156 587

To ensure the payments, the Seller reserves the right to request down payments from the Buyer. In this case, the need of down payments will be mentioned on the order.

3.4 Payment is due by the Buyer to the Seller within 30 days from invoice date, except in the case of a particular written agreement. If the Buyer fails to pay within this time and fails to contact the Seller, the latter shall be entitled to

invoice interest in arrears based on the annual rate Refi of the «BCE» + 7 points, in accordance with article L. 441-6 of the French Commercial Code. Our publications (report, database, tool...) are delivered only after reception of the

payment.

3.5 In the event of termination of the contract, or of misconduct, during the contract, the Seller will have the right to invoice at the stage in progress, and to take legal action for damages.

4. Liabilities

4.1 The Buyer or any other individual or legal person acting on its behalf, being a business user buying the Products for its business activities, shall be solely responsible for choosing the Products and for the use and interpretations

he makes of the documents it purchases, of the results he obtains, and of the advice and acts it deduces thereof.

4.2 The Seller shall only be liable for (i) direct and (ii) foreseeable pecuniary loss, caused by the Products or arising from a material breach of this agreement

4.3 In no event shall the Seller be liable for:

a) damages of any kind, including without limitation, incidental or consequential damages (including, but not limited to, damages for loss of profits, business interruption and loss of programs or information) arising out of the use of or

inability to use the Seller’s website or the Products, or any information provided on the website, or in the Products;

b) any claim attributable to errors, omissions or other inaccuracies in the Product or interpretations thereof.

4.4All the information contained in the Products has been obtained from sources believed to be reliable. The Seller does not warrant the accuracy, completeness adequacy or reliability of such information, which cannot be guaranteed

to be free from errors.

4.5 All the Products that the Seller sells may, upon prior notice to the Buyer from time to time be modified by or substituted with similar Products meeting the needs of the Buyer. This modification shall not lead to the liability of the

Seller, provided that the Seller ensures the substituted Product is similar to the Product initially ordered.

4.6 In the case where, after inspection, it is acknowledged that the Products contain defects, the Seller undertakes to replace the defective products as far as the supplies allow and without indemnities or compensation of any kind for

labor costs, delays, loss caused or any other reason. The replacement is guaranteed for a maximum of two months starting from the delivery date. Any replacement is excluded for any event as set out in article 5 below.

4.7 The deadlines that the Seller is asked to state for the mailing of the Products are given for information only and are not guaranteed. If such deadlines are not met, it shall not lead to any damages or cancellation of the orders,

except for non acceptable delays exceeding [4] months from the stated deadline, without information from the Seller. In such case only, the Buyer shall be entitled to ask for a reimbursement of its first down payment to the exclusion of

any further damages.

4.8 The Seller does not make any warranties, express or implied, including, without limitation, those of sale ability and fitness for a particular purpose, with respect to the Products. Although the Seller shall take reasonable steps to

screen Products for infection of viruses, worms, Trojan horses or other codes containing contaminating or destructive properties before making the Products available, the Seller cannot guarantee that any Product will be free from

infection.

5. Force majeure

The Seller shall not be liable for any delay in performance directly or indirectly caused by or resulting from acts of nature, fire, flood, accident, riot, war, government intervention, embargoes, strikes, labor difficulties, equipment failure,

late deliveries by suppliers or other difficulties which are beyond the control, and not the fault of the Seller.

6. Protection of the Seller’s IPR

6.1 All the IPR attached to the Products are and remain the property of the Seller and are protected under French and international copyright law and conventions.

6.2 The Buyer agreed not to disclose, copy, reproduce, redistribute, resell or publish the Product, or any part of it to any other party other than employees of its company. The Buyer shall have the right to use the Products solely for

its own internal information purposes. In particular, the Buyer shall therefore not use the Product for purposes such as:

- Information storage and retrieval systems;

- Recordings and re-transmittals over any network (including any local area network);

- Use in any timesharing, service bureau, bulletin board or similar arrangement or public display;

- Posting any Product to any other online service (including bulletin boards or the Internet);

- Licensing, leasing, selling, offering for sale or assigning the Product.

6.3 The Buyer shall be solely responsible towards the Seller of all infringements of this obligation, whether this infringement comes from its employees or any person to whom the Buyer has sent the Products and shall personally

take care of any related proceedings, and the Buyer shall bear related financial consequences in their entirety.

6.4 The Buyer shall define within its company point of contact for the needs of the contract. This person will be the recipient of each new report in PDF format. This person shall also be responsible for respect of the copyrights and

will guaranty that the Products are not disseminated out of the company.

6.5 In the context of annual subscriptions, the person of contact shall decide who within the Buyer, shall be entitled to access on line the reports on I-micronews.com. In this respect, the Seller will give the Buyer a maximum of 10

password, unless the multiple sites organization of the Buyer requires more passwords. The Seller reserves the right to check from time to time the correct use of this password.

6.6 In the case of a multisite, multi license, only the employee of the buyer can access the report or the employee of the companies in which the buyer have 100% shares. As a matter of fact the investor of a company, the joint

venture done with a third party etc..cannot access the report and should pay a full license price.

7. Termination

7.1 If the Buyer cancels the order in whole or in part or postpones the date of mailing, the Buyer shall indemnify the Seller for the entire costs that have been incurred as at the date of notification by the Buyer of such delay or

cancellation. This may also apply for any other direct or indirect consequential loss that may be borne by the Seller, follow ing this decision.

7.2 In the event of breach by one Party under these conditions or the order, the non-breaching Party may send a notification to the other by recorded delivery letter upon which, after a period of thirty (30) days without solving the

problem, the non-breaching Party shall be entitled to terminate all the pending orders, without being liable for any compensation.

8. Miscellaneous

All the provisions of these Terms and Conditions are for the benefit of the Seller itself, but also for its licensors, employees and agents. Each of them is entitled to assert and enforce those provisions against the Buyer.

Any notices under these Terms and Conditions shall be given in writing. They shall be effective upon receipt by the other Party.

The Seller may, from time to time, update these Terms and Conditions and the Buyer, is deemed to have accepted the latest version of these terms and conditions, provided they have been communicated to him in due time.

9. Governing law and jurisdiction

9.1 Any dispute arising out or linked to these Terms and Conditions or to any contract (orders) entered into in application of these Terms and Conditions shall be settled by the French Commercial Courts of Lyon, which shall have

exclusive jurisdiction upon such issues.

9.2 French law shall govern the relation between the Buyer and the Seller, in accordance with these Terms and Conditions.