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Resistive Memories ReRAM and Memristor Patent Landscape 2015 IP and Technology Intelligence 2405 route des Dolines, 06902 Sophia Antipolis, France Tel: +33 489 89 16 20 Web: http://www.knowmade.com Unity Semiconductor Samsung Electronics SanDisk Adesto Technologies Crossbar Hewlett Packard

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Page 1: Resistive Memory Patent Landscape report published by Yole Developpement

Resistive MemoriesReRAM and Memristor

Patent Landscape 2015

IP and Technology Intelligence

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

Web: http://www.knowmade.com

Unity Semiconductor Samsung ElectronicsSanDisk Adesto TechnologiesCrossbar Hewlett Packard

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2Resistive Memories Patent Landscape 2015

© 2015 All rights reserved | www.knowmade.com

TABLE OF CONTENTS

Introduction 3

The Authors 4

Scope of the Report 5

Key Features of the Report 6

Objectives of the Report 8

Terminology for Patent Analysis 9

Methodology 12

Type of Emerging Non Volatile Memories 14

Emerging NVM Market 15

ReRAM Roadmap 17

ReRAM Time-to-market 18

ReRAM IP History 19

ReRAM - Technology 20

Patent Search Strategy 21

ReRAM – Memory Mechanisms 22

ReRAM – Segments Terminology 23

Segmentation of Patents by Type of ReRAM 24

Technological Segmentation 25

Assignees mentioned in the report 26

Industrial Assignees mentioned in the report 27

Executive Summary 36

ReRAM Patent Landscape Overview 45

Time Evolution of Patent Publications 46

Countries of Patent Filings 48

Current Legal Status of Patents 49

Main Patent Assignees Ranking 50

Main Joint Development and IP Agreements 52

Time Evolution of Patent Assignees 53

Countries of Filing for Main Patent Assignees 54

Mapping of Main Current IP Holders 55

Mapping of Main Current IP Assignees 56

Summary of Assignee’s Patent Portfolio 57

Degree of Specialization in ReRAM 59

Leadership of Patent Assignees 60

Impact Factor of Patent Portfolios 61

Strength Index of Patent Portfolios 62

Patent Assignees IP Network 64

IP Blocking Potential of Applicants 66

Key Patent Families 67

Granted Patents Near Expiration 69

Potential Future Plaintiffs 70

Patent Segmentation 71

Segmentation of Patents by Type of ReRAM 72

Time Evolution of Patent Publications by segments 73

Matrix Applicant / Patented Technology 74

Patent Differentiation 76

OxRRAM 77

CBRAM 81

CMOx 85

Memristor 89

Focus on Key Players 93

Conclusions 130

Annexes 136

KNOWMADE Company presentation 136

Contact 150

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONScope of the Report

This report provides a detailed picture of the patent landscape for Resistive Random Access Memories. Only patents related toresistive switching technologies (CBRAM, OxRRAM, CMOx) were considered. We also include in this report patent related tomemristor. This report does not include patents related to resistive switching such as Phase Change Random Access Memoriesand Magnetic Random Access Memories, but also Ferroelectric Random Access Memories. This report covers patentspublished worldwide up to March 2015. More than 2,600 patent families relevant to the scope of this report have beenselected.

Included in the study

Not included in the study

STT-RAM, MRAM, PCRAM and FeRAM

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4Resistive Memories Patent Landscape 2015

© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONKey Features of the Report (1/2)

• The report provides essential patent data for Resistive Random Access Memory (ReRAM).

• It identifies more than 15+ major holders of ReRAM memory related intellectual property. It provides in-depth IP analysis and industrial 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.

– Matrix applicants/technology issues for more than 15 companies.

• The “ReRAM IP” profiles of 15+ major companies is presented, with key patents, recent patents, technological issues, partnerships, last market news.

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5Resistive Memories Patent Landscape 2015

© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONKey Features of the Report (2/2)

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

• This database allows multi-criteria searches:

Patent information

- Patent publication number

- Hyperlinks to the original documents

- Priority date

- Title

- Abstract

- Patent Assignees

- 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 anyindividual patent: KnowMade is research firm that provide market and technical analysis and opinions. Theresearch, technical analysis and/or work contained herein is not a legal opinion and should not be construedas such.

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONObjectives of the Report

Objectives of this patent landscape is to:

Understand the IP landscape for ReRAM.

Identify key patents.

Understand trends in ReRAM Memories IP.

Identify the major IP players in ReRAM and the relative strength of their patent portfolio.

Identify new IP players in ReRAM.

Identify IP collaboration networks between key players.

Identify main patent litigations.

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONMethodology (1/2)

• The data was extracted from the FamPat worldwide database (Questel-ORBIT) which provides 80+ million patentdocuments from 95 offices.

• The search for patent was performed in March 2015 hence patents published after this date will not be available inthis deliverable.

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

• The statistical analysis was performed with INTELLIXIR System.

• The patents were categorized using keyword analysis of patent title, abstract and claims, in conjunction with expertreview of the subject-matter of inventions (all details in next slides).

• The patents were grouped according FamPat’s family rules (variation of EPO strict family): A Patent Familycomprises patents linked by exactly same priority numbers (strict family), plus comparison of priority and applicationnumbers, specific rules by country and information gathered from other sources (national files, legal status …).

Disclaimer: KnowMade are research firms that provides technical analysis and technical opinions. The research, technical analysis and/orwork contained herein is not a legal opinion and should not be construed as such.

Number of selected patent families for the ReRAM IP Investigation:2,604 over a number of returned results > 7,700

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONMethodology (2/2)

Keywords and term-set definition

Search equations / Search strategy

Patent screening

Patent classification

Related Relevant Non relevant

Fine search using IPC classes and citations analysis

Technological Segmentation

Patent Investigation

Segmentation improvement during IP Investigation

Landscape Overview

In-depth analysis on Key Technology Segments

and Key Players

Patent Ranking and Key Patents analysis

Phase I

Phase II

Phase III

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONType of Memories

MRAMReRAM

(or RRAM)PCRAM

(or PRAM, PCM)DRAM Flash NAND

Non Volatile YES YES YES NO YES

Endurance(Nb Cycles)

High (1012) Low (106) Medium (108) High (1015) Low (105)

2014 latesttechnological node

produced (nm)90 nm 130 nm 45 nm 30 nm 15 nm

Cell Size (in F2)Medium

(6-12)Medium (6-12) Medium (6-12) Small (6-10) Very small (4)

Write speed (ns) High (10 ns) High (10 ns) Medium (75 ns) High (10 ns) Low (10,000 ns)

Power Consumption Medium/Low Low (3- 5 pJ/bit) Medium Low Very High

2014 Price ($/Gb) High ($ 100 - 50 /Gb)High ($ 5000

/Gb)Medium

(few $/ Gb)Low ($1/Gb)

Very Low($ 0.05/Gb)

Suppliers Everspin Technologies Adesto Technologies Micron, SamsungSamsung, Micron,

SK HynixSamsung, Micron, Toshiba, SK Hynix

Emerging Memories Established Memories

From Yole Dévelopment « Emerging NVM » 2015 Report

In PCRAM and MRAM, the active memory elements for information storage are resistive. We made the choice in this report to separate thesetwo memories from ReRAM analysis.

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONReRAM Time-to-Market and Players by Application and with key players

Industrial and wearable have been the first ReRAM market and will be followed by SCM for enterprise storage in 2015.Next milestone will be in 2018, with adoption on MCU as a replacement of eFlash and introduction on mass storageapplications by XX as a replacement of NAND.

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© 2015 All rights reserved | www.knowmade.com

INTRODUCTIONReRAM IP History

Resistive RAM: Technology and Market Opportunities (2010)

Many companies have been working on ReRAM, for a very long time so there is already some high background on thistechnology. Most importantly, the patents on the basic ReRAM switching concepts have expired.

The slide below is from a Deepak C. Sekar presentation. He has been a Director at Rambus, Chief Scientist at MonolithIC 3D inc.and has held various engineering roles at SanDisk.

In this report, we decided to focus on ReRAM patents close to the current resistive memory structures (CBRAM, OXRRAM,CMOx).

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© 2015 All rights reserved | www.knowmade.com

IP Landscape OverviewTime Evolution of Patent Publications

In 1997, the first patent published relates on programmable metallization cell. The increase of patenting activity observed since 2003 shows agrowing market on resistive memory technology. By the end of 2014, more than 2100 patent families related to ReRAM technologies have beenpublished with more than XXX patent families on memristor.

Note: The data corresponding to the year 2015 is not complete since the patent search was done in March 2015.

ReRAM Patent Publications

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© 2015 All rights reserved | www.knowmade.com

IP Landscape OverviewTime Evolution of Patent Assignees

A was the most active in the 2008-2010 period. These last years, B, C, D and E were the most active. Note that Toshiba, SanDisk and Intermolecularhave signed a joint development agreement in 2010. F shows high number of publications since 2010 with patents on XXX.

Dates are defined from the

earliest publication date for

each patent family. Bubble

size represents the

number of published

patent families. The data

corresponding to the year

2015 may not be complete

since the patent search

was done early March

2015.

Company ACompany BCompany CCompany DCompany ECompany FCompany GCompany HCompany ICompany JCompany KCompany LCompany MCompany NCompany O

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IP Landscape OverviewMapping of Main Current IP Holders

Toshiba holds most of the granted patents in the USA and Korea. Sharp is the main IP holder in Taiwan and Europe, and has interest in Japan, Koreaand China as well. In USA, most of its granted patents were acquired in 2012 by Intellectual Properties Kft or Xenogenic Development LimitedLiability Company. Samsung is the main IP holder in Korea and is also well protected in USA, while Panasonic is main IP holder in China.

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IP Landscape OverviewSummary of Main Assignee Patent Portfolios

: highest value per column: lowest value per column

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© 2015 All rights reserved | www.knowmade.com

IP Landscape OverviewLeadership of Patent Assignees

Companies A and B are IP challengers with more than 150 pending applications all over the world except in Japan. C is focused these last years

on more efficient ReRAM (programming, 3D architecture). D signed a joint development with E and F in 2010. Since 2007, it owns already more

than 140 granted patents. G has most of its US granted patents acquired in 2012 by H or I. J, with 1st patent filed in 2010 has already more than 40

granted and pending patents. K holds more than 70 granted patents but has only 6 pending applications on ReRAM (Programming Metallization

Cell) with first patent expiring in 2016. This shows that L reduced its investment in R&D in the field.

-100

0

100

200

300

400

500

600

-50 0 50 100 150 200 250 300

Nu

mb

er o

f G

ran

ted

Pat

en

ts

Number of Pending Patents

Bubble size represents the

number of patent families

selected for the study

Knowmade 2015

Patenting Activity

Pa

ten

t R

igh

ts R

ein

forc

em

en

t

Main IP Holders

still active

IP Challengers

Main Established

Patent Holder

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXXXXX

XXX

XXXXXX

XXX

XXX

XXX

XXX

XXX

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IP Landscape OverviewIP Blocking Potential of Assignees

-20

0

20

40

60

80

100

120

140

160

-200 0 200 400 600 800 1000 1200 1400 1600

Nu

mb

er o

f d

iffe

ren

t ap

plic

ants

cit

ing

mo

re t

han

on

e ti

mes

th

e p

aten

t p

ort

folio

Number of Forward Citations (excluding self-citations)

Knowmade 2015

The more the number of forward citations from different patent applicants is high, the more the capacity to hamper the other firms’ attempts to patent a

related invention is important. Note, however, that the identification of a “blocking patent” requires an in-depth specific analysis of each patent documents.

A distinguishes itself with the highest IP blocking potential. It is followed by B with very high number of citations. These citations arise from high

number of patents published by B in 2004-2008 period mainly on Oxide Resistive Random Access Memory.

C and D have also high IP blocking potential despite their small patent portfolio.

Note that E with high patent portfolio has a weak blocking potential, due to few citations of its portfolio. E mostly published patents on ReRAM

process fabrication.

XXX

XXX

XXX

XXXXXX

XXXXXX

XXX

XXX

XXX

XXX XXX

XXX

XXX

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IP Landscape OverviewKey Patent Families

1Acquired by Rambus in 2012

Patent numbers correspond to representative member of the families, assignee names take into account original applicants and reassignments.

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-20

0

20

40

60

80

100

120

140

-100 0 100 200 300 400 500 600

Nu

mb

er o

f P

aten

t Fa

mili

es in

volv

ed in

law

suit

s (U

S ca

ses

in a

ll se

cto

rs)

Number of granted patents (ReRAM)

IP Landscape OverviewPotential Future Plaintiffs

As far as we know, there is no patent litigation on ReRAM technology area since the market is starting. In a few years, when there would be noinnovation anymore, players will create value with patent litigation.A is one of the companies of this study to be the most implicated in lawsuits.B, C and D have high propensity to file complaints. In the future, C as IP challenger will be a dangerous player in resistive memory field with increasednumber of granted patents.E is involved in litigations regularly and is also important actor of the field.

Pro

pe

nsi

ty t

o L

itig

ate

Pa

ten

ts

Patent Rights Reinforcement

Knowmade 2015

XXX

XXX

XXX XXXXXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

XXX

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Patent SegmentationPatent Differentiation

MEMORY TYPENote that this representation reflects clear and accessible information available in patent abstract, claims or sometimes description.The four segments are firstly considered. If no clear trend emerged, the assignee focuses on general ReRAM in its patents.

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© 2015 All rights reserved | www.knowmade.com

CMOxTechnology Description

CMOx (Conductive Metal Oxide)

PrincipleCMOx works by ion movement under electrical field.

Advantages• Low switching current (< 1uA/cell)• Progressive, time dependent programming• Suitable for Self Rectifying Cell (Asymmetry and Non-linearity of LRS I-V behavior)

Main Challenges• Materials:

-Complex perovskite oxides : process (in) compatibility ?-Pt electrode required for good Schottky barriers

• Thick filmsmay compromise scaling

Operating principle of CMOx cellSource: Unity Semiconductor, 2011

Unity's technology is based on a passive cross-point, multi-layermemory array and its CMOx memory cell, a technology that isbased on conductive metal oxide materials and the motion of ions.Unity's CMOx-based design uses four physical layers of multi-levelcell (MLC) memory and is the key to increasing the density of itsstorage-class memory products. CMOx will yield products with 4xthe density and 5–10x the write speed of today's NAND Flash.

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© 2015 All rights reserved | www.knowmade.com

CMOxPatented Technology

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© 2015 All rights reserved | www.knowmade.com

CMOxKey Patent Families

1Acquired by Rambus in 2012

Patent numbers correspond to representative member of the families, assignee names take into account original applicants and reassignments.

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© 2015 All rights reserved | www.knowmade.com

Focus on Key Players SanDisk

LAST NEWS• ISSC Conference, Feb 2013, SanDisk and Toshiba presented a 32Gb, 24 nm device

with diode as selection device. – Latencies for reading and writing are 40μs and230μs, respectively

TECHNOLOGY CHOICE• #4 NAND producer• NAND production alliance with Toshiba since 2000• SanDisk develop 3D RRAM with Toshiba for next 3D NAND generation which is

expected much after 2018• 3D RRAM: the best attributes to replace 3D NAND

Source: SanDisk, May 2014

32Gb, 24nm device Source: Winbond Electronics, Feb 2014

Page 25: Resistive Memory Patent Landscape report published by Yole Developpement

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© 2015 All rights reserved | www.knowmade.com

Focus on Key Players SanDisk: Key Patent Families

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26Resistive Memories Patent Landscape 2015

© 2015 All rights reserved | www.knowmade.com

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.

Page 27: Resistive Memory Patent Landscape report published by Yole Developpement

Patent Landscape – June 2015

Resistive Memory Patent LandscapeReRAM and Memristor Technologies

With Resistive Memory adoption to replace NAND, how will evolve IP forces involved in the next years ?

REPORT OUTLINE• Resistive Memory • Patent Landscape.• June 2015.• PDF & Excel file.• €3,990 (corporate license).Order online

KEY FEATURES OF THE REPORTThe report provides essential patentdata for ReRAM and Memristorincluding:

• Time evolution of patentpublications and countries ofpatent filings.

• Ranking of main patent applicants.• Joint developments and IP

collaboration network of mainpatent applicants.

• Key patents.• Granted patents near expiration.• Relative strength of main

companies IP portfolio.• Matrix applicants/patented

technology for more than 15companies.

• The “Resistive Memory IP” profilesof 15+ major companies ispresented, with key patents,recent patents, technologicalissues, partnerships and lastmarket news.

The report also provides anextensive Excel database with allpatents analyzed in the study.

OBJECTIVE OF THE REPORT• Understand the IP landscape for

ReRAM and Memristor.• Identify key patents.• Understand trends in Resistive

Memory IP.• Classify the major IP players in

Resistive Memory and the relativestrength of their patent portfolio.

• Identify new IP players in ResistiveMemory.

• Identify IP collaboration networksbetween key players.

RELATED REPORTS• Emerging Non-Volatile Memories

Patent Landscape 2014

The Resistive Memory technologies involve more than 100 different applicants. The main IPholders in the domain are Samsung, Toshiba and SK Hynix. With growing market, new playersare emerging and reshaping the IP landscape, especially Hewlett Packard is coming intoplayground strongly with new resistive memory type (memristor), Crossbar that unveiledarchitecture breakthrough innovation or Adesto Technologies that acquired Qimonda CBRAMMemory IP.In recent years, emerging non volatile memories have been enthusiastically studied in orderto replace Flash Memory that faces among others, scalability challenges. Among thesecandidates, Resistive Memory has been extensively studied as one of the most promisingcandidates for the next generation of memory technology due to excellent memoryperformances. Indeed, Resistive Memory, that exhibits resistive switching between a highresistance state and a low resistance state, has overwhelming advantages in easy fabrication,simple structure, excellent scalability, fast switching, high integration density, and goodcompatibility with the current complementary metal oxide semiconductor (CMOS)technology.The application potential of the new emerging resistive memories - as metal oxide resistiveswitching memory (OxRRAM), conductive-bridge memory (CBRAM) or conductive metal oxidememory (CMOx) - covers the standalone memory technologies (as NAND and DRAM), butoffers also potential for exciting new applications and markets, as new functionality coupledwith logic circuits to enable block power-down, or use as synapses in neuromorphiccircuits. Some devices are already on the market: 1Mb 130 nm CBRAM device of AdestoTechnologies since 2011 and ReRAM embedded MCU of Panasonic since 2013. Besides, the16Gb CBRAM of Micron and Sony that will be commercially available this year will allow thedevelopment of a mainstream market.

DESCRIBING THE IP SITUATION

Time Evolution of Patent PublicationsFor ReRAM and Memristor

This patent landscape focuses on current Resistive Switching Random Access Memories(phase change memories not included). More than 2600 patent families related to this fieldhave been published worldwide up to March 2015. In the end 1990s, first patents related toConductive Bridging Memories were published. Then in beginning 2000s the first patent onOxide Resistive Memories was published more than 30 years after the concept discovery.Few years later, Unity Semiconductor published first patent on new resistive switchingmemory: Conductive Metal Oxide (CMOx). In end 2000s, Hewlett Packard published for thefirst time patent on the application of the Memristor concept to ReRAM. The number ofpatent applications is increasing since 2003 suggesting a future ramp-up of the market.

Page 28: Resistive Memory Patent Landscape report published by Yole Developpement

IDENTIFY KEY PLAYERS

PATENTED TECHNOLOGY AND IP STRATEGY

More than 50 key patents have been identified based onseveral indicators, including family size, legal status,citations analysis and impact on Resistive Memorytechnology. Key Patents are mainly held by pioneers(Unity Semiconductor, Hewlett Packard,…) but alsomemory giants. In the future, they are expected tomaintain their leadership position in the Resistive Memorypatent landscape, while new challengers and start-upscould become major forces in Resistive Memory IP.

Our report also includes an Excel database containing all ofthe analyzed patents. This database allows for multi-criteria searches and includes patent publication number,hyperlinks to the original documents, priority date, title,abstract, patent assignees, technological segments andlegal status for each member of the patent family.

The 2600+ patent families selected for this study havebeen manually segmented by memory type (CBRAM,OxRRAM, CMOx, Memristor), and the dataset isorganized into various claimed invention (material,process, cell structure, programming). Main assigneesseem to fill patents either on one specific memory typeor on general Resistive Memory.We observe a high number of license agreements andcollaborations in Resistive Memory technology (Sony/Micron Technology, Panasonic/IMEC, SanDisk/Toshiba/Intermolecular, Adesto Technologies/AltisSemiconductor, …), and for the moment there is nopatent litigation since the market is starting. But thiscould change with the adoption of Resistive Memory toreplace Flash Memory, since new challengers areentering the Resistive Memory technology. Theleadership of patent applicants should evolve in thefuture in this field.

Leadership of Patent Assignees

Key Patent Families on Resistive MemoryIDENTIFY KEY PATENTS

Resistive Memory Patent Landscape – June 2015

More than 15 companies are deeply involved inResistive Memory IP. Key players include Asian andAmerican giant semiconductor companies (SanDisk,Panasonic, Sharp…) but also start ups (Crossbar,Adesto Technologies, Unity Semiconductor,…). Thereport provides a ranking and analysis of the relativestrength of the key patent holders derived from theirportfolio size, patent citations networks, countries ofpatents filings, current legal status of patents.Through this thorough analysis, we have identified15+ key players, each of which is profiled in thisreport. Each profile includes a detailed portfolioanalysis with current patent activities and keypatents but also market news, collaborations andtechnological choices.

Mapping of Main Current IP Holders

Page 29: Resistive Memory Patent Landscape report published by Yole Developpement

TABLE OF CONTENT

ABOUT KNOWMADEKnowmade is a Technology Intelligence and IP Strategy consulting company involved in Microelectronics, Nanotechnology,Biotechnology and Life Sciences. We provide Patent Search, Patent Landscape, Patent Analysis, Scientific Landscape, State of the Art,Technology Scouting, Technology Tracking, Alerts and Updates. Our service offer consists of standard reports, custom studies & on-demand tracking, strategy consulting and training. We combine information search services, scientific expertise, powerful analytics andvisualization tools, and proprietary methodologies for analyzing patents and scientific information. Knowmade supports researchlaboratories, industrial companies and investors in their business development.

Dr Audrey Bastard works for Knowmadein the field of Microelectronics andNanotechnology. She holds a PhD inPhysics from National PolytechnicInstitute of Grenoble, France incollaboration with STMicroelectronics,CEA-Leti and CEMES Toulouse. She alsoholds a Materials Engineering Degreefrom the Superior Engineering School ofLuminy, Marseille, France.

Dr Nicolas Baron is CEO and co-founder ofKnowmade. He is leading theMicroelectronics and Nanotechnologyscientific and patent analysis department.He holds a PhD in Physics from theUniversity of Nice Sophia-Antipolis, plus aUniversity Diploma in Intellectual PropertyStrategy and Innovation from the EuropeanInstitute for Enterprise and IntellectualProperty (IEEPI Strasbourg), France.

COMPANIES CITED IN THE REPORT (NON-EXHAUSTIVE)4DS, Adesto Technologies, Altis Semiconductor, Atmel, Axon Technologies, Crossbar, Elpida Memory, Freescale Semiconductor, Fujitsu,Hewlett Packard, IBM, Infineon Technologies, Intel, Intermolecular, Macronix International, Micron Technology, NEC, Panasonic,Qimonda, Rambus, Renesas Electronics, Samsung, SanDisk, Seagate Technology, Semiconductor ManufacturingInternational Corporation (SMIC), Sharp, SK Hynix, Sony, STMicroelectronics, Symetrix, Taiwan Semiconductor Manufacturing (TSMC),Toshiba, Unity Semiconductor, Winbond Electronics

AUTHORS

Resistive Memory Patent Landscape – June 2015

Introduction 3

The Authors 4

Scope of the Report 5

Key Features of the Report 6

Objectives of the Report 8

Terminology for Patent Analysis 9

Methodology 12

Type of Emerging Non Volatile Memories 14

Emerging NVM Market 15

ReRAM Roadmap 17

ReRAM Time-to-market 18

ReRAM IP History 19

ReRAM - Technology 20

Patent Search Strategy 21

ReRAM – Memory Mechanisms 22

ReRAM – Segments Terminology 23

Segmentation of Patents by Type of ReRAM 24

Technological Segmentation 25

Assignees mentioned in the report 26

Industrial Assignees mentioned in the report 27

Executive Summary 36

ReRAM Patent Landscape Overview 45

Time Evolution of Patent Publications 46

Countries of Patent Filings 48

Current Legal Status of Patents 49

Main Patent Assignees Ranking 50

Main Joint Development and IP Agreements 52

Time Evolution of Patent Assignees 53

Countries of Filing for Main Patent Assignees 54

Mapping of Main Current IP Holders 55

Mapping of Main Current IP Assignees 56

Summary of Assignee’s Patent Portfolio 57

Degree of Specialization in ReRAM 59

Leadership of Patent Assignees 60

Impact Factor of Patent Portfolios 61

Strength Index of Patent Portfolios 62

Patent Assignees IP Network 64

IP Blocking Potential of Applicants 66

Key Patent Families 67

Granted Patents Near Expiration 69

Potential Future Plaintiffs 70

Patent Segmentation 71

Segmentation of Patents by Type of ReRAM 72

Time Evolution of Patent Publications by segments 73

Matrix Applicant / Patented Technology 74

Patent Differentiation 76

OxRRAM 77

CBRAM 81

CMOx 85

Memristor 89

Focus on Key Players 93

Conclusions 130

Annexes 136

KNOWMADE Company presentation 136

Contact 150

Page 30: Resistive Memory Patent Landscape report published by Yole Developpement

ORDER FORMResistive Memory Patent Landscape June 2015

ABOUT YOLE DEVELOPPEMENT

Beginning in 1998 with Yole Développement, we have grown to become a group of companies providing market research, technology analysis,strategy consulting, media in addition to finance services. With a solid focus on emerging applications using silicon and/or micro manufacturingYole Développement group has expanded to include more than 40 associates worldwide covering MEMS, Microfluidics & Medical, AdvancedPackaging, Compound Semiconductors, Power Electronics, LED, and Photovoltaic. The group supports companies, investors and R&D organizationsworldwide to help them understand markets and follow technology trends to develop their business.

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TECHNOLOGY & MARKET REPORTS• Collection of reports• Players & market databases• Manufacturing cost simulation tools• Component reverse engineering & costing analysisMore information on www.yole.fr

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Page 31: Resistive Memory Patent Landscape report published by Yole Developpement

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”.

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

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or cancellation. This may also apply for any other direct or indirect consequential loss that may be borne by the Seller, fol lowing 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

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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.

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© 2015

Yole DéveloppementFrom Technologies to Market

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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28

MEMS & Sensors

LED

Compound Semi.

Imaging Photonics

MedTech

Manufacturing

Advanced Packaging

PV

Power Electronics

FIELDS OF EXPERTISE

Yole Développement’s 30 analysts operate in the following areas

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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29

4 BUSINESS MODELS

o Consulting and Analysis

– Market data & research, marketing analysis– Technology analysis– Strategy consulting– Reverse engineering & costing– Patent analysis

www.yole.fr

o Reports

– Market & Technology reports– Patent Investigation and patent infringement

risk analysis– Teardowns & Reverse Costing Analysis– Cost Simulation Tool

www.i-Micronews.com/reports

o Financial services– M&A (buying and selling)– Due diligence– Fundraising – Maturation of companies– IP portfolio management & optimization

www.yolefinance.comwww.bmorpho.com

o Media

– i-Micronews.com website– @Micronews e-newsletter– Technology magazines– Communication & webcast services– Events

www.i-Micronews.com

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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30

A GROUP OF COMPANIES

Market,

technology and

strategy

consulting

www.yole.fr

M&A operationsDue diligences

www.yolefinance.com

Fundraising Maturation of companies

IP portfolio management & optimization

www.bmorpho.com

Manufacturing costs analysisTeardown and reverse engineering

Cost simulation tools

www.systemplus.fr

IP analysisPatent assessment

www.knowmade.fr

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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OUR GLOBAL ACTIVITY

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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32

RESEARCH PRODUCTS - CONTENT COMPARISON

Custom analysis scope is defined with you to meet your information

and budget needs

Breadth of the analysis

De

pth

of

the

an

alys

is

Custom Analysis

Workshops

Standard Reports

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

Page 38: Resistive Memory Patent Landscape report published by Yole Developpement

33

SERVING THE ENTIRE SUPPLY CHAIN

Our analysts provide market

analysis, technology evaluation,

and business plan along the entire

supply chain

Integrators and end-users

Devicemakers

Suppliers: material, equipment, OSAT, foundries…

Financial investors, R&D centers

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

Page 39: Resistive Memory Patent Landscape report published by Yole Developpement

34

SERVING MULTIPLE INDUSTRIAL FIELDS

We are working across

multiples industries to

understand the impact of More-

than-Moore technologies from device to system

From A to Z…

Transportation makers

Mobile phone and consumer

electronics

Automotive

Medicalsystems

Industrial and defense

Energy

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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REPORTS COLLECTION

• Yole Développement publishes a comprehensive collection of market & technology reports and patent analysis in:

MEMS & Sensors

Imaging

Medical technologies (MedTech)

Advanced packaging

Power electronics

Compound semiconductors

OLED, LED & Laser diode

Semiconductor Manufacturing

Photovoltaics

Batteries

• Our reports are unmatched in quality and technology depth and typically include:Technology trends and evolution: costs, barriers, roadmaps, etc.

Supply & value chain analysis: business models, relationships, value flows, etc.

In-depth analysis of applications and market drivers: challenges, inflection points, etc.

Market data ($, units, wafer starts, etc.)

• Every year, Yole Développement, System Plus Consulting and KnowMade publish +60 reports.

• Take the full benefit from our Bundle and Annual Subscription offers.

www.i-Micronews.com

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

Page 41: Resistive Memory Patent Landscape report published by Yole Developpement

36

OUR 2015 MARKET & TECHNOLOGY REPORTS PLANNING

o MEMS & SENSORS

− Sensors and Data Management for Autonomous Vehicles

− AlN Thin Film Markets And Applications

− Sensors for Wearable Electronics And Mobile Healthcare

− Status of the MEMS Industry

− Uncooled IR Imagers

− IR Detectors

− High End Gyro, Accelerometers and IMU

− Non-Volatile Memory

− MEMS for RF filters and Antena Switches - BAW / SAW*

o IMAGING & OPTOELECTRONICS

− Camera Module Packaging (Vol 1 : Market & Technology Trends / Vol 2 Teardowns & Reverse Engineering)

− Uncooled IR Imagers

− Status of the CMOS Image Sensors

− Machine Vision

o MEDTECH

− Microfluidic for Sample Preparation

− Microfluidic Applications

− Sensors for Wearable Electronics And Mobile Healthcare

o COMPOUND SEMICONDUCTORS

− High Purity Alumina (HPA)

− Sapphire

− Wide Bandgap Materials For Power Electronics: SiC, GaN (and also Ga2O3, AlN, Diamond, Graphene… as a trend)

• Reports to be decided within 2015

o LED

− LED Module

− OLED for Lighting

− UV LED

− LED Phosphors Market

o POWER ELECTRONICS

− Power Packaging

− Thermal Management for LED and Power

− Power Electronics for Renewable Energy

− Energy Management For Smart Grid And Smart Cities

− Status of Chinese Power Electronics Industry

− New Technologies For Data Center

− Inverter Market Trends For 2013 – 2020 And Major Technology Changes*

− IGBT Markets And Application Trends

− Power Electronics for HEV/EV

− Status of Power Electronics Industry

o ADVANCED PACKAGING

− Advanced Packaging in Emerging Markets in China

− Status of the Advanced Packaging Industry

− Supply Chain Readiness for Panel Manufacturing in Packaging

− WLCSP

− Flip Chip Business Update

− 2.5D & 3DIC Business Update

− Fan-Out and Embedded Business Update

o MANUFACTURING

− Lithography for MEMS, Advanced Packaging and LED

− Thinning & Dicing Equipment for Advanced Packaging, MEMS, Photovoltaics, LED, CMOS Image Sensors

− Non-Volatile Memory

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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37

OUR 2015 REPORTS PLANNING

PATENT ANALYSIS by KnowMadeo Patent Infringement (crossed analysis based on KnowMade and System Plus Consulting analysis expertise)

− MEMS Microphone Applications

− Infrared Imaging

o Patent Investigation (crossed analysis based on KnowMade & Yole Développement expertise)

− Power GaN

− MEMS Gyroscope

− 6-axis & 9-axis Inertial MEMS IMUs

− Microbatteries

− Embedded Active & Passive Packages

− Interposer

− Phosphors for LED

TEARDOWN & REVERSE COSTING by System Plus Consulting

More than 30 teardowns and reverse costing analysis and cost simulation tools to be published in 2015.

* Reports to be decided within 2015@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

Page 43: Resistive Memory Patent Landscape report published by Yole Developpement

38

OUR 2014 PUBLISHED REPORTS LIST

MARKET & TECHNOLOGY REPORTS by Yole Développement

o MEMS & SENSORS

− Technologies & Sensors for the Internet of Things: Businesses & Market Trends 2014-2024

− MEMS Microphone: Market, Applications and Business Trends 2014

− Status of the MEMS industry

− MEMS & Sensors for Mobile Phones and Tablets

− High End Gyroscopes and Accelerometer Applications

− Inertial MEMS Manufacturing Technical Trends

− New Detection Principles & Technical Evolution for MEMS & NEMS

− 6/9 DOF Applications in Consumer Electronics

o IMAGING & OPTOELECTRONICS

− Status of the CMOS Image Sensor Industry

− Uncooled Infrared Imaging Technology & Market Trends

− Silicon Photonics

o MEDTECH

− Point of Care Testing: Applications for Microfluidic Technologies

− Solid State Medical Imaging: X-ray and Endoscopy

o COMPOUND SEMICONDUCTORS

− RF GaN Technology & Market Analysis: Applications, Players, Devices & Substrates 2010-2020

− SiC Modules, Devices and Substrates for Power Electronics Market

− GaN-on-Si Substrate Technology and Market for LED and Power Electronics

− Power GaN Market

− Graphene Materials for Opto & Electronic Applications

− Sapphire Applications and Market: from LED to Consumer Electronics

o LED

− LED Packaging

− LED Front-End Manufacturing Trends

− LED Front-End Equipment Market

o POWER ELECTRONICS

− Power Electronics for HEV/EV

− Inverters

− Gate Driver Unit Market for Power Transistors

o PHOTOVOLTAICS

− Emerging and Innovative Technology Approaches in the Solar Industry

o ADVANCED PACKAGING

− 3DIC Equipment and Materials

− 3DIC & 2.5D TSV Interconnect for Advanced Packaging - 2014 Business Update

o MANUFACTURING

− Market & Technology Trends in Materials & Equipment for Printed & Flexible Electronics

− Permanent Wafer Bonding for Semiconductor: Application Trends & Technology

PATENT ANALYSIS by Knowmade

− LED Based on Nano-wires Patent Investigation

− GaN on Si Patent Investigation (LED, Power devices and RF Devices)

− New MEMS Devices Patent Investigation

− Non Volatile Memory Patent Investigation

TEARDOWN & REVERSE COSTING by System Plus ConsultingMore than 30 teardowns and reverse costing analysis and cost simulation tools to be published in 2014.

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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39

MICRONEWS MEDIA

o About Micronews Media

Micronews Media, powered by Yole Développement,ensures you the best visibility in the disruptivesemiconductor community. With our services, wehelp you to reach your customers worldwide with themedia products they prefer, including our website, e-newsletter, webcasts, and magazines. Invest in a highadded-value editorial program and get access to YoleDéveloppement’s network (48 000+ contacts).

o Five supports and channels for your visibility

• A technology magazine to highlight your visibilitywith advertisements, company profiles, productdescriptions and white papers

• A webcast to highlight your expertise and developyour business identifying commercial leads

• Articles, advertisements & logo and bannersdedicated to your company, its products andexpertise in @Micronews e-newsletter and on i-Micronews.com

Focusedcommunity

Identifiedcontacts

Large community

Mass contacts

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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COMMUNICATION SERVICES

All services listed below are available on–demand.

o i-Micronews.com, the website

Slider – Banners (on English or Japanese websites) – Articles –Logo and profile as sponsor

o @Micronews, the e-newsletter

Headline article - Tiles

o Custom webcast

Develop your dedicated event with a high added-value program.A turnkey event with Yole support (logistics, promotion, data…)

o Technology Magazines: Custom – Co-produced

Increase your visibility through a dedicated technology magazinewith ads, company profile, product descriptions and whitepapers. It can be a custom magazine: your company is the onlyone to benefit from it – or a co-produced one: up to 2companies.

Contacts:

Camille Veyrier ([email protected]) and Clotilde Fabre ([email protected]),Media & Communication Coordinators.

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare

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CONTACT INFORMATION

• Consulting and Specific Analysis• North America Steve LaFerriere, Director of Northern America Business Development

Email: [email protected]

• Japan Yutaka Katano, General Manager, Yole Japan & President, Yole K.K.Email [email protected]

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

• Report business• North America Steve LaFerriere, Director of Northern America Business Development

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]

• Korea Hailey Yang, Business Development Manager, Korean OfficeEmail [email protected]

• Financial servicesJean-Christophe Eloy, CEO & PresidentEmail: [email protected]

• GeneralEmail: [email protected]

Follow us on

@2015 | www.yole.fr | Sensors for Wearable Electronics & Mobile Healthcare