LED phosphor patent investigation 2013 Report by Yole Developpement

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Phosphor related intellectual property has been and remains a major driving force with strong impact on the shape of the LED industry.



LED phosphor IP is shaping the industry

The first commercial GaN-based blue LEDs were produced in Japan in the mid 90’s after researchers Shuji Nakamura at Nichia and Professor Akasaki at Nagoya University (IP assigned to Toyoda Gosei) succeeded in removing some of the major remaining roadblocks associated with this technology (p-doping, epitaxy quality…).

Quickly leveraging on this success, some fundamental patents describing the use of a blue LED combined with a phosphor to produce white LEDs were filed by Nichia, Osram, ATMI and others. Those fundamental patents were rapidly followed by a fast growing number of applications through 2005 as an increasing number of companies started to compete in the LED market and new applications in cell phone, laptop and LCD TV display, and general lighting were being addressed.

Phosphor IP is a major force in the LED industry. With more than 40 litigation cases, it is also used as leverage by companies which have negotiated close to 70 licensing and supply agreements to date. It can also be argued that in the first half of the 2000 decade, the strict enforcement and lack of license grants for some fundamental IP related to the design and manufacturing of white LEDs might also have slowed down the progress of the industry by preventing more efficient competition that would allow prices to decrease.

The report identifies the key players with the most relevant IP. It provides an overview, of phosphor related IP litigation and licensing, that has shaped the industry since the mid 90s, as well as a detailed analysis for the major players involved.



A vast number of relevant patents

Our search strategy combines automated and manual screenings that have led to the selection of more than 4,500 relevant patent families. Those have been segmented by type (composition patent or phosphor configuration patents) and organized in various technology segments that are analyzed in detail: garnets, silicates, nitrides and oxynitrides, quantum dots. The report also includes a special focus on the emerging LED phosphor IP in China.

For each segment, the report provides a detailed analysis including the time evolution of patent filings, identification of the key players, collaborations and citation networks, as well as the identification of the key patents based-on citation and impacts in litigations.

The report also includes a companion excel database with all patents of the company profiled in the report. This database includes abstracts and hyperlinks to the original documents and allows multi-criteria searches (patent publication number, priority date, title, applicants, technological segments…)

More information on the report at http://www.i-micronews.com/reports/LED-Phosphors-Down-Converters-Patent-Investigation/14/392/

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LED phosphor patent investigation 2013 Report by Yole Developpement

  1. 1. Copyrights © Yole Développement SA. All rights reserved. © 2013 1 LED Phosphors and Down- Converters Patent Investigation Report Sample Le Quartz 75 cours Emile Zola, F-69001 Lyon-Villeurbanne, France www.yole.fr 2405 route des Dolines 06902 Sophia Antipolis, France www.knowmade.com Intematix System + consulting Phosphor Tech Intematix QD Vision System + consulting
  2. 2. © 2013 2 Copyrights © Yole Développement SA. All rights reserved. A New Type of Report Providing a Clear Link between IP Situation and Market Evolutions More than describing the status of the IP situation, this report provides a missing link between patented technological solutions and market, technological and business trends – Knowmade has developed a unique methodology to define a technical segmentation of patent landscape and identify key patents. – By combining their technical knowledge, business understanding and patent search, Yole and Knowmade are able to provide unique analysis and added value you will find in this report – In-depth technological analysis of patents provided in this report will lead to understanding of strategic decisions and positioning of key players within the value chain LED and LED Phosphor Market and Technology analysis and forecast. LED phosphor IP Landscape Yole’s Standard Reports: • Market Analysis •Technology Analysis • Tear down and reverse costing analysis Yole’s / Knowmade New IP Reports: • Patent analysis • Technological segmentations • Identification of key patents • Market implication of IP landscape • Full searchable patent database
  3. 3. © 2013 3 Copyrights © Yole Développement SA. All rights reserved. Scope Of the Report • This report provides a detailed picture of the patent landscape for LED phosphors and other down- converters like quantum dots. This includes statistical analysis by type, compositions, key players and configurations. • Over the more than 20,000 patent families identified for this project, more than 4,500 relevant to the scope of this report have been analyzed. Those 4500 families have been segmented as follow: Patent Type LED Phosphor Material The claimed invention is related to the composition of the wavelength converted element Use of Phosphors with LED The claimed invention is related to a LED based lighting device using a wavelength conversion element Remote PhosphorsProximity Phosphors Garnets Silicates Nitrides Oxynitrides Others*Quantum dots * Aluminates, Carbidonitrides, Selenides, Phosphates…
  4. 4. © 2013 4 Copyrights © Yole Développement SA. All rights reserved. Key Features of the Report: What’s included and what’s not • The report provide essential market data and forecast for LED Phosphors. • It identifies more than 50 holders of LED Phosphor related intellectual property. It provides in-depth analysis of technology key segments and key players including: – Time evolution of patent filings, priority and publication countries – Breakdown and first filing of publication countries – Countries of filing for top players – Legal status of the patent portfolio – Ranking of main patent assignees for both Industry and Academic players. – Overview of key patents and collaborations networks between assignees. – Patent family citations networks – Relative strength of each company IP portfolio. • A special focus is provided on key composition families and configurations: – Garnets – Silicates – Nitrides, Oxynitrides and Carbidonitrides – Quantum Dots – Remote Phosphors • Overview of LED Phosphor related patent litigation and licensing. • The “Phosphor IP” profiles of more than 15 companies is presented, with key patents, compositions, configurations, IP strategy, litigations, licenses and partnerships.
  5. 5. © 2013 5 Copyrights © Yole Développement SA. All rights reserved. Key Features of the Report: What’s included and what’s not • The report also provides an extensive Excel database with all patents of the company profiled in the report. This database allows multi-criteria searches: – Patent information - Patent publication number - Hyperlink to original document - Priority date - Title - Abstract - Applicants Technological segments - Garnets - Silicates - Nitrides/Oxynitrides - Quantum Dots - Remote Phosphors • This report does not: – Provide any insights analyses or counsel regarding legal aspects or the validity of any individual patent: Knowmade and Yole Developpement are research firms that provide market and technical analysis and opinions. The research, technical analysis and/or work proposed or provided by Knowmade and contained herein is not a legal opinion and should not be construed as such. – Cover phosphor deposition methods or equipments or manufacturing equipments.
  6. 6. © 2013 6 Copyrights © Yole Développement SA. All rights reserved. Methodology •The data were extracted from the FamPat worldwide database (Questel-ORBIT) which provides 60+ million patent documents from 95 offices. •The patents search was performed in early June 2013 hence patents published after this date will not be available in this report. •The patent selection is done both automatically and manually. •The statistical analysis was performed with INTELLIXIR System. •The patents were categorized using keyword analysis of patent title, abstract and claims, in conjunction with expert review of the subject-matter of inventions (details in next slides) •The patents were organized according to FamPat’s family rules (variation of EPO strict family): A Patent Family comprises patents linked by exactly same priority numbers (strict family), plus comparison of priority and application numbers, specific rules by country and information gathered from other sources (national files, legal status …) Disclaimer: Knowmade 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 legal opinion and should not be construed as such. Number of selected patent families for the LED Phosphor IP Investigation: 4,586 over a number of returned results > 20,900
  7. 7. © 2013 7 Copyrights © Yole Développement SA. All rights reserved. Methodology
  8. 8. © 2013 8 Copyrights © Yole Développement SA. All rights reserved. Search Strategy and Patent Screening Phosphors/QDs for wavelength conversion 44% LED using wavelength conversion elements 56% 4,586 Relevant Patent Families LED with WL conversion Group The claimed invention is related to a LED based lighting device using a wavelength conversion element Phosphor material Group The claimed invention is related to the composition of the wavelength conversion element • Note that due to the vast number of patent families related to phosphors in general, we have designed our research equation in order to restrict the results to LED applications. The limit of this strategy is that some composition patents that don’t explicitly mention LED related applications might have been filtered out. We believe however this number to be quite low since phosphors used with LED are in most cases, specific to this applications (ie.: different from phosphors used in fluorescent lighting and displays. • Our search equation and manual filtering resulted in the selection of a total of 4,586 relevant patent families:
  9. 9. © 2013 9 Copyrights © Yole Développement SA. All rights reserved. Time Evolution of Patent Filing 0 0 0 0 0 0 0 0 0 0 19 2 20 17 58 53 95 129 186 221 184 179 144 203 251 197 63 111 1 1 1 6 2 2 10 33 32 57 49 53 68 81 155 269 239 262 228 204 404 356 38 2 0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 No.ofPatentFamilies Earlier priority year of each patent family LEDs with wavelength conversion Phosphor LEDs •2,032 patent families were filed from 1996 to 2013 in Phosphor LEDs material technologies. 36% of those were filed over the last 5 years. •2,554 patent families were filed from 1986 to 2004 in LED based devices using a wavelength conversion element. 39% of those were filed these last 5 years. Note: The data corresponding to the years 2012 and 2013 may not be complete since a significant number of patent applications filed during these years might not have been published yet. Nichia JPH1036835 (YAG) JP3065258 (LED lamp + YAG) US5998925 (LED lamp + YAG) SIEMENS/OSRAM WO1998012757 / US6066861 (Sealing compound with phosphor) Note most patents filed in 2012 – 2013 not published yet Mitsubishi JPS62189770 (convert the wavelength of emitted light into the other wavelength) ATMI US6600175 Solid state white light emitter (Assigned to Cree in 2004)
  10. 10. © 2013 10 Copyrights © Yole Développement SA. All rights reserved. Major LED Phosphor Materials Family Activator Dominant Color Main Players #1: Garnets (YAG) Ce3+ Yellow Nichia, Osram (IP) #2: Silicate (BOSE) Eu2+ Yellow Intematix, Merck/Litec, LWB, Toyoda Gosei / Tridonic #3: Nitrides (CASN-SCASN) Sulfide (CAS) Eu2+ Red-Orange Mitsubishi #4: Oxynitrides (SiALON) Eu2+ Green Denka Currently Dominant Compositions: Emerging Compositions: Family Activator Dominant Color Main Players Molybdates, Tungstates Eu3+ Red Philips K2SiF6:Mn4+ Mn4+ Red GE (under development) Quantum Dots NA Red NN Crystal, Nanosys, QD Vision, Nanoco Alternative Nitrides / Carbidonitrides Eu2+ Red Intematix, Nichia, Dow Electronic Materials Selenides ZnSeS Red Phosphortech Alternative Oxynitrides Eu2+ Green Dow Electronic Materials… Other Garnets LuAG Ce3+ Green Philips, Misc… Green Aluminates Eu2+ Green Intematix Note: not much activity for new yellow phosphors families: YAG is well established for companies having a license, Silicate for others.
  11. 11. © 2013 11 Copyrights © Yole Développement SA. All rights reserved. Phosphor Related Licensing Agreements Remote Phosphor License Program: Aurora Energie Corp., Horner APG, Ledzworld Technology, Vexica Technology, and Wyndsor Lighting, LLC Ya Hsin Note that in many licenses, phosphor IP is only one element of the agreements which can also include epitaxial structures, packaging etc… 2-ways licenses Single way licenses
  12. 12. © 2013 12 Copyrights © Yole Développement SA. All rights reserved. Examples Conformal Coating – Package Level Source: Lumileds – LXML-PWC1-0100 Luxeon Rebel tear down and reverse costing analysis (System + consulting)
  13. 13. © 2013 13 Copyrights © Yole Développement SA. All rights reserved. Market Quantification Scenario #2: Volumes with Remote Phosphors • Under those assumptions, volumes increase significantly and RP related volume rapidly dwarfs that of standard LEDs as illustrated next page.
  14. 14. © 2013 14 Copyrights © Yole Développement SA. All rights reserved. Geographic Breakdown of Patent Filing: Phosphor Materials Priority patents are mainly filed in Japan (45%). These patents are mainly extended in Japan, USA, China and Korea. International (WO) and European (EP) applications represent 11% and 9% respectively. Note that they may hide other countries that are not yet published. Country of the first filing (priority country) for patents related to Phosphor Material Country of filings (publication countries) for patents related to Phosphor Material JP (21%) US (17%) CN (14%)KR (11%) WO (11%) EP (9%) TW (9%) DE (4%) AT (1%) OTHERS (4%) JP (45%) KR (17%) CN (12%) US (12%) DE (5%) TW (4%) EP (3%) WO (1%) OTHERS (1%)
  15. 15. © 2013 15 Copyrights © Yole Développement SA. All rights reserved. Main Patent Assignees Ranking • More than 150 companies are involved in IP related to LED with WL conversion element. • From a quantitative point of view, xxx is the leader followed by xxx and xxx. • The top-3 assignee represents 30% of patent filings. xxx and xxx occupy the 8th and 16th place respectively. • More than 400 companies are involved in IP related to Phosphor Material. The top-4 assignee represents 28% of patent filings, while xxx alone accounts for 8%. • Relative newcomer xxx occupies the 3rd spot, while xxx and xxx rank 2nd and 7th respectively.
  16. 16. © 2013 16 Copyrights © Yole Développement SA. All rights reserved. Subsidiary of Merck since 2008 (LWB) Patent Assignees IP Network Phosphor Materials • Most assignees collaborate only with players coming from the same originating country. A notable exception is the BOSE consortium (= Litec, Merck, LWB, Toyoda Gosei and Tridonic) which holds key Silicate phosphor IP and also has a collaboration with SEOUL SEMICONDUCTOR via LITEC. • In the US, the Department Of Energy (DOE) is co-assignee on patents resulting from projects it funded within the frame of its “Solid State Lighting” R&D program. • Number in black on each link between assignees is the number of co-assigned patent families. • Number up right to each box is the number of patent families for this assignee in the data set. Assignee collaboration network for patents related to Phosphor Material Lumination since 2007Subsidiary of GE Patent trust related to Siemens / OSRAM OSRAM is part of the Siemens group
  17. 17. © 2013 17 Copyrights © Yole Développement SA. All rights reserved. Strength of Main Assignee Portfolio Phosphor Materials *: 6,986 patent families cite the whole of the 2,032 patents taken into account for the study, then corresponding to an average of 3.44 citing patent families per patent family. Patent portfolio comparison for main patent assignees involved in Phosphor Material A B C D E F Assignee (note names available in the full report) No. of patent families No. of citing patent families No. of citing patent families / yr No. of citing patent families / patent family Relative Impact Factor of the patent family Strength of the patent portfolio = A x E(from FamPat database) (average) = B/A = D/ 3.44* Company A (JP) 159 614 42.8 3.9 1.1 179 Company B (JP) 148 2327 136.9 15.7 4.6 677 Company C (KR) 132 362 33.4 2.7 0.8 105 Company D (JP) 123 395 25.5 3.2 0.9 115 Company E (JP) 86 400 32.7 4.7 1.4 116 Company F (NL) 80 1744 118.2 21.8 6.3 507 Company G (JP) 76 518 42.9 6.8 2.0 151 Company H (JP) 70 838 58.5 12.0 3.5 244 Company I (DE) 69 1530 90.9 22.2 6.4 445 Company J (KR) 60 189 17.6 3.2 0.9 55 Company K KR) 52 45 3.5 0.9 0.3 13 Company L (US) 39 272 2.4 7.0 2.0 79 Company M (US) 30 984 8.7 32.8 9.5 286 Company N (JP) 29 80 0.7 2.8 0.8 23 Company O (US) 25 324 2.9 13.0 3.8 94 Company P (JP) 25 626 5.5 25.0 7.3 182
  18. 18. © 2013 18 Copyrights © Yole Développement SA. All rights reserved. Major Reference Patents Company 2 USxxx 2000 SANKEN ELECTRIC GELCORE (LUMINATION) XICATO Company 1 WOxxxx, USxxx, USxxx 1997 SANKEN ELECTRIC PHLIPS INTEMATIX PHILIPS NICHIA SANKEN ELECTRIC Company 8 Woxxx, WOxxx, USxxx Earliest publication date of the patent family Company WOxxx PHILIPS INTEMATIX MITSUBISHI GELCORE (LUMINATION) Company 5 DExxx 2004 PHILIPS NITTO DENKO UBE INDUSTRIES 1998 2001 Company 4 WOxxx MITSUBISHI EPISTAR PHILIPS 2002 Company 10 WOxxx INTEMATIX MERCK MITSUBISHI Company 3 EPxxx NICHIA MITSUBISHI CREE 2005 Company 11 USxxx INTEMATIX NITTO DENKO MITSUBISHI Main reference patents for Garnet composition and corresponding main citing applicants The selection of reference patents is based on both citations analysis and their interest for YAG/TAG technology. 2006 Company 6 WOxxx NITTO DENKO PANASONIC Company 12 WOxxx OSRAM INTEMATIX 20092008 Company 7 WOxxx MERCK
  19. 19. © 2013 19 Copyrights © Yole Développement SA. All rights reserved. Key Patents, Citations & Collaborations General Electric’s portfolio Forward / Backward citations (main citing/cited applicants) Key Patent Families (representative member and earlier priority date of the patent family) Collaborations Garnets 190+ citing patent families (Cree, Philips, Nichia) 120+ cited patent families (Philips, Patent Treuhand, Osram, Panasonic) EPxxx (number and title in the full report) Woxxx (number and title in the full report) Usxxx (number and title in the full report) No collaboration Others Phosphor blends: Woxxx (number and title in the full report), WOxxx (number and title in the full report), WOxxx2 (number and title in the full report) Fluorides: USxxx (2005), USxxx (2007, number and title in the full report), WOxxx1 (2008, number and title in the full report) US Department Of Energy (co- applicant): USxxx (2011, fluoride) Remote Phosphors 540+ citing patent families (Cree, Philips, Osram) 270+ cited patent families (Philips, Nichia, Cree) WOxxx (number and title in the full report) WOxxx (number and title in the full report) No collaboration LED with wavelength conversion element 740+ citing patent families (Cree, Philips, ABL IP Holding) 360+ cited patent families (Philips, Cree, Panasonic, Nichia) USxxx (number and title in the full report) USxxx (number and title in the full report) USxxx (number and title in the full report) WOxxx (number and title in the full report) No collaboration
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