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Phosphors & QDs for LED Application
Patent Landscape 2016
IP and Technology Intelligence
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QD-LCDPhilips Lumileds QD Vision IntematixSamsung Electronics Nichia

2
Phosphors & QDs Patent Landscape 2015
© 2015 All rights reserved | www.knowmade.com
TABLE OF CONTENTS
Introduction 4
• The Authors
• Scope of the Report
• Key Features of the Report
• Objectives of the Report
• Acronyms/Glossary
• Terminology for Patent Analysis
• Methodology
• Search Strategy
• Segmentation of Patents
• Technological Segmentation
• Assignees mentioned in the report
Executive Summary 21
Status of the LED Industry 43
Phosphor Market Overview 53
Quantum Dots Market Overview 65
Patent Landscape: Phosphors & QDs General Overview 76
For each segment (LED wavelength conversion, Phosphor composition,
Remote phosphors, Quantum dots…):
• Time Evolution of Patent Publications
• Main Patent Assignees Ranking
• Time Evolution of Patent Assignees
• Patent Assignees IP Network
• Table Technology Segments v.s. Patent Assignees
Patent Landscape: Phosphor Compositions 94
For each composition (Garnets, Silicates, Nitrides, New compositions …):
• Table Phosphor Compositions v.s. Patent Assignees
• Degree of Specialization of Patent Assignees
Focus on Nitides/Oxynitrides 112
• Overview
• Mapping of Main Current IP Holders
• Mapping of Main Current IP Applicants
• Leadership of Patent Assignees
• Impact Factor of Patent Portfolios
• Strength Index of Patent Portfolios
• IP Blocking Potential of Assignees
• Key Patent Families
• Potential Future Plaintiffs
Focus on New Compositions 125
• Overview
• Example of New Compositions

3
TABLE OF CONTENTS
Patent Landscape: Quantum Dots 141
• Overview
• Countries of Filing for Main Patent Assignees
Focus on QD Compositions (Cd v.s. Cd-free) 161
• Overview
Phosphors & QDs Patent Landscape: Focus on China 168
• Overview
For each segment (LED wavelength conversion, Phosphor composition,
Remote phosphors, Quantum dots…):
Phosphors & QDs: Litigations & Licensing Landscape 180
• Chronology of Major Events
• Litigation Plaintiffs and Defendants
• Patents Families Most Cited in Infringement Litigations
• Litigated Patent Families
• Litigation – Time Histogram
• Litigation date vs. Priority Date
• Litigation Strategies
• Phosphor Patent Licensing Activity: 2001-2015 Chronology
• Licensing: Historical Events (1996-2012)
• Licensing: Recent Events (2013-2015)
• Licensing: Focus on Silicates and the BOSE Consortium
• Licensing: Focus on Nitrides
• Litigation and Licensing: Focus on Nichia, Osram, Cree, Philips, Seoul
Semiconductor, Intematix, Mitsubishi chemicals, Toyoda Gosei.
• Invalidation Attempts
• Conclusion
Focus on The Everlight – Nichia Patent War 226
Phosphors & QDs: Expiring Patents Analysis 233
Conclusions 241
Annexes 247
Knowmade Company presentation
Contacts

4
INTRODUCTION
Scope of the Report
This report provides a detailed picture of the patent landscape for LED downconverters, namely Phosphors & Quantum Dots
(QD).
This report covers patents published worldwide up to September 2015. More than 7,510 patent families relevant to the scope
of this report have been selected.
Included
in the study
Not included
in the study
• Any patent describing a component or a
device using a blue LED in conjunction
with a downconverter (phosphor or
quantum dots) to produce light at a
different wavelength than the blue LED
pump.
• Patents specifically mentioning the
composition of one or more compositions
of phosphors or quantum dots used in
conjunction with an LED.
• Phosphor deposition equipment.
• Patents with Phosphors or quantum dots
used for non LED applications or in which
LED applications are not mentioned.

5
INTRODUCTION
Key Features of the Report (1/2)
• The report provides essential patent data for Phosphors & QDs IP.
• It identifies more than 30 major holders of Phosphors & QDs related intellectual property. It provides in-
depth IP analysis and industrial key players including:
– IP trends including time evolution and countries of filing
– What’s new compared to the 2013 Edition
– Ranking of main patent applicants
– Joint developments and IP collaboration network of main patent applicants
– Key patents and fundamental granted patents near expiration
– Relative strength of main companies’ IP portfolios
– Matrix showing patent applicants and patented technologies
– Segmentation of patents:
• by technology including LEDs, Phosphor Compositions, QDs and Remote phosphors
• by phosphor compositions: Garnets, Silicates, Nitrides, New Compositions
– Deep IP analysis of new trend compositions and QDs
– Complete review and deep analysis of litigations and licensing landscape (50+ slides)
– Analysis of IP publication of Chinese players
• It includes Phosphor & QDs LED market data and forecasts.

6
INTRODUCTION
Key Features of the Report (2/2)
• The report also provides an extensive Excel database with all patents analyzed in the report (18,000+
patents).
• This database allows multi-criteria searches:
Patent information
- 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
individual patent: KnowMade is research firm that provide market and technical analysis and opinions. The
research, technical analysis and/or work contained herein is not a legal opinion and should not be construed
as such.

7
INTRODUCTION
Objectives of the Report
Objectives of this patent landscape is to:
 Understand the IP landscape for Phosphors & QDs.
 Identify key patents.
 Understand trends in Phosphors & QDs IP.
 Identify the major IP players in Phosphors & QDs and the relative strength of their patent portfolio.
 Identify new IP players in Phosphors & QDs.
 Identify IP collaboration networks between key players.
 Identify main patent litigations.

8
INTRODUCTION
Methodology (1/2)
• The data was extracted from the FamPat worldwide database (Questel-ORBIT) which provides 80+ million patent
documents from 95 offices.
• The search for patent was performed in September 2015 hence patents published after this date will not be
available in this 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 expert
review 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 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 are research firms that provides technical analysis and technical opinions. The research, technical analysis and/or
work contained herein is not a legal opinion and should not be construed as such.
Number of selected patent families for the Phosphors & QDs IP Investigation:
7,513 over a number of returned results > 20,000

9
INTRODUCTION
Methodology (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

10
INTRODUCTION
Segmentation of Patents by Type
The following segmentation for
the analysis of the patents
identified in this report:
2,452 patent
families
382 patent families 741 patent families
466 patent families4,597 patent families
Phosphors & QDs
for LED Applications
New
Compositions
Mn4+ Activated, SASOFs
Quantum Dots
LED Wavelength Conversion (“LED WL”):
Describes LED chips used in conjunction
with a downconverter.
Garnets
YAG, TAG, Other
Garnets
Other
Compositions
Phosphates, Sulfides, …
Nitrides
Nitrides, Oxy-Nitrides,
Carbo/Carbido-
Nitrides
Silicates
Silicates, Oxy/Ortho-
Silicates
1,378 patent families 52 patent families443 patent families
Remote
Phosphors
Phosphor compositions
Describes phosphor
compositions to be used
with LEDs
938 patent families
7,513 patent families

11
LED Market Trends - Display
Opposing forces are driving the market in LCD backlight display applications.
While backlight display applications are still expected to saturate in 2015, the decline will be slower than initially
anticipated thanks to:
– The delayed introduction of affordable OLED TV (pushed back to 2017).
– Various image quality improvements promoted by the display industry that will translate in increased brightness
requirements for the backlight unit in LCD displays (= more LEDs per display).
• OLED share increasing in mobile displays
(smartphone, phablets).
• Improving LED efficiency and flux per package.
• Quantum dots  white LED replaced by blue LEDs
 lower value captured by LED packagers.
• OLED in TV delayed until 2017 (?)  LED + Quantum
Dots to fill the gap.
• 4K  requires brighter backlight units.
• Wide Color Gamut: inherently less efficient 
require higher blue pump flux.
• High Dynamic Range  higher peak brightness.
• Demand for larger displays.
UHD TV require more
LED (resolution,
contrast, gamut)!
LED brightness
increases and OLED
are coming!

12
Segmentation of LED Downconverter Materials
[1]: Silicates loosing ground but still used by IP conscious companies which
don’t have a license for garnets. Expect garnets to strongly dominate
after when key patent expire in 2017
[2]: PFS limited to low/mid power LEDs but narrow band offers efficiency
improvement.
[3]: Yellow phosphor are only used in niche applications with very high CRI
(>95). A combination of broadband green + red is usually sufficient.
[4]: PFS gaining ground in Japan thanks to very narrow emission band. But
slow decay speed is an issue for some Korean TV makers. QD discussed
in dedicated section of the report.
[5]: β-SiAlON currently the best phosphor option due to narrow band and
good stability. Silicates still an option in entry level and smaller displays
but price gap is narrowing.

13
Quantum Dots in LCD Display Backlights
• With traditional white LEDs, the light source doesn’t exhibit separate peaks for each primary color. The color performance of
the display therefore relies on the color filters and a lot of light is left out.
• Quantum dots are well suited to enable narrow sub-pixel output spectral distributions: they produce narrow output spectral
distributions that are easily tunable in peak wavelength to match any set of LCD color filters (illustration: 3M).
• Tunable emission characteristics allow close match with LCD color filters.
Blue (LED Chips Green (QD) Red QD
FWHM (nm) 15 nm ~ 30 nm ~ 40 nm
Typical spectral output of a CdSe-based QD BLU

14
2012-2020 Volume Forecast (Including Remote Phosphors)

15
2012-2020 Phosphor Revenue Forecast
Despite significant volume increase, revenue will remain essentially flat due to strong price pressure.

16
IP vs. Revenue for Leading LED packaging companies

17
IP Landscape – General Overview
Time Evolution of Patent Publications
KnowMade 2015
Phosphors & QDs Patent Publications
(7,510+ patent families)
The first patents of the study were published in 1980s by Japanese companies (Mitsubishi, Toshiba, Nichia, NIMS, Panasonic…). But the take-off of
patenting activity was really observed ten years later after Nichia, Toyoda Gosei and a few others developed and commercialized high brightness
blue GaN-based LED from Nichia.
A first wave of patent publications over the 2003-2007 period is mainly due to Japanese companies (Panasonic and Toshiba) publishing on LED with
Wavelength Conversion material. A second wave of patent publications also on LED with WL converter started in 2010, mainly originating from AOT,
Samsung and Stanley Electric. The increase of patent publication on Phosphor Composition follow the LED patent publication increase although
more slowly.
Note: The data corresponding to the year 2015 is not complete since the patent search for this report was performed in September 2015.

18
IP Landscape – General Overview
Time Evolution of Patent Assignees

19
IP Landscape – Patent Segmentation
Matrix Applicant / Patented Technology: top 25
No. Of Patent Families
< 10
10 - 20
20 - 50
50 - 100
>100
• Note that a
patent can be
found in several
categories.
• Note that this
representation
reflects clear
and accessible
information
available in
patent abstract,
claims or
sometimes
description.
[1]: systems = Led bulbs, luminaires, LCD backlight displays, TV…

20
Phosphor Compositions – Patent Segmentation
Matrix Applicant / Patented Technology
No. Of Patent Families
< 10
10 - 20
20 - 50
50 - 100
>100
• Note that a patent can be found in several categories.
• Excludes Quantum Dots (analyzed separately)
• Note that this representation reflects clear and accessible information
available in patent abstract, claims or sometimes description.
Continued next page…

21
Phosphor Compositions – SILICATES
Patent Assignee IP Network

22
Nitrides & Oxynitrides
Leadership of Patent Assignees
Note: All IP positions are given in the report

23
New Compositions: Overview (1/3)
• Phosphors based on Mn4+ emission have been the object of
particular attention from the LED community due to their very
narrow emission spectra with strong emission in the red.
• Amongst the various families of host matrix considered, PFS
(potassium fluorosilicate) such as the K2SiF6 (also refered as
KSF) developed by GE[1] has emerged as a potential winner
with narrow emission peaks at 613, 631, 636,648 nm with
FWHM of 3 to 4 nm, much narrower than nitrides.
• This provides better color separation and matching with the
filters for LCD displays. Combined with a green phosphor and
a blue emitter, color gamut of up to 100% of the NTSC space
have been obtained while maintaining brightness & efficiency.
• PFS, developed for CCFL, were initially abandoned due to high
sensitivity to contamination during manufacturing and rapid
degradation under high temperature / humidity conditions.
But technologies have been developed to eliminate the Mn4+
ions from the phosphor particle surface and stabilize the
material.
• Stability has improved enough to allow on-chip use in
commercial mid-power LED. Further improvement might
however be required to guaranty long term stability in high
power LEDs.
Emission spectra of a blend of SASOF-10, CBASIN and PFS
phosphors pumped by a blue LED. The resulting light source has a
CRI of 97 and a R9 of 93, a color temperature of 300K and a
luminosity of 330 lumens/optical watt
(Source: GE patent US 8,703,016)
Improvement of GE’s PFS stability between 2012 and 2015
[1] Other examples: K2[TiF6]:Mn4+ .C.f US patent 8,703,016 and 20120299466

24
New Compositions
Key Patent Families
Patent numbers correspond to representative member of the families, assignee names take into account original applicants and reassignments.

25
Example of New Compositions

26
Quantum Dots
Mapping of Main Current IP Applicants (pending patents)

27
-50
0
50
100
150
200
250
-5 0 5 10 15 20 25 30 35
NumberofPatentFamiliesinvolvedinlawsuits(UScasesin
allsectors)
Number of granted patents (Quantum Dots)
Quantum Dots
Potential Future PlaintiffsPropensitytoLitigatePatents
Patent Rights Reinforcement
Knowmade 2015

28
1 2 3 7 4
10
20
34
17 13
2 1 3 3 5
11 15 13
36
50
41
65
70 63 69
86
110
100
46
38
0
20
40
60
80
100
120
140
160
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
NumberofPatentPublications
First Publication Year of Each Patent Family
Rest of World
Chinese Entities
Focus on China: Remote Phosphors
Time Evolution of Patent Publications
Note: The data corresponding to the year 2015 is not complete since the patent search was performed in September 2015.
KnowMade 2015
• IP Activity in China on Remote Phosphors represents a quarter of worldwide published patents since 2013.
China vs. Rest of World
Patents related to remote phosphors
XX% = percentage originating from a Chinese entity
3% 4% 10%
5%
10%
15%
25%
27%
25%

29
Litigation Plaintiffs and Defendants
Infringement and Invalidation Procedures.

30
Patents Families Most Cited in Infringement Litigations (1/3)

31
Litigation date vs. Priority Date (1/2)

32
Phosphor Patent Licensing Activity: 2001-2015 Chronology

33
Litigation and Licensing: Focus on Osram (1/2)

34
Overview of Japan and US Litigations

35
Granted Patents Near Expiration
Expiring Patent Analysis
* 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.

36
Excel Database
with all patents analyzed in the report with technology segmentation
This database allows multi-criteria searches and includes patent publication number, hyperlinks to the
original documents, priority date, title, abstract, patent assignees, technological segments and legal
status for each member of the patent family.

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Patent Landscape – January 2016
Phosphors and QDs for LED Applications
Patent Landscape
With fundamental patent expiring in the next years,
how will evolve IP forces involved ?
REPORT OUTLINE
• Phosphors & QDs for LEDs
• Patent Landscape
• January 2016
• PDF (250+ slides)
• Excel file (7,500+ patent families)
• €5,990 (Multi-user license)
KEY FEATURES OF THE REPORT
• IP trends including time evolution
and countries of filing
• What has happened since the last
report (2013 edition)
• Phosphor & QDs LED market data
and forecasts
• Ranking of main patent applicants
• Joint developments and IP
collaboration network of main
patent applicants
• Key patents and fundamental
granted patents near expiration
• Relative strength of main
companies’ IP portfolios
• Matrix showing patent applicants
and patented technologies
• Segmentation of patents:
- by technology including LEDs,
Phosphor Compositions, QDs and
Remote phosphors
- By phosphor compositions:
Garnets, Silicates, Nitrides, New
Compositions
• Deep IP analysis of new trend
compositions and QDs
• Complete review and deep analysis
of litigations and licensing
landscape (50+ slides)
• Analysis of IP publication of Chinese
players
• Excel database with all patents
analyzed in the report (7510+
patent families), including
technology segmentation
RELATED REPORTS
• Phosphors & Quantum Dots 2015:
LED Downconverters for Lighting &
Displays
• LED Phosphors IP Investigation 2013
Find all our reports on
www.i-micronews.com
www.knowmade.com
RESHAPING THE LED PHOSPHORS INDUSTRY AT A TURNING POINT
QDs for LED applications: key patents
More than 7,510 patented inventions related to Phosphors & QDs have been published
worldwide up to September 2015. The first patents were published by Japanese companies
(Mitsubishi, Toshiba, Nichia, NIMS, Panasonic…). But patenting activity really took off over the
2003-2007 period after development of first high brightness GaN-based blue LED from
Nichia. A second wave of patent publications started in 2010, mainly originating from AOT,
Samsung and Stanley Electric. The increase in patent publications focused on Phosphor
Composition follows same trend although more slowly. Chinese LED phosphor players such as
Sunfor Light have recently entered the LED Phosphors & QDs IP arena.
Overall, patent filings peaked in 2013, and have been slowing down since. Meanwhile,
granted patents worldwide should increase after successful processing of the numerous
pending patent applications. We expect patent filings to continue driven by innovation in
nitride phosphors or new compositions such as Mn4+ activated phosphors or QDs that
haven’t reached their technology maturity yet and for which adoption in commercial
applications such as displays is just starting.
Knowmade © 2015
The last 2 years have seen some major changes on the LED market with important boom of
lighting applications and the growth of Chinese LED industry. On the phosphor front, nitrides
are the dominant red phosphors for high CRI lighting and wide color gamut displays. Suppliers
have proliferated despite IP restrictions. But a new material, Mn4+ doped PFS (potassium
fluorosilicate) developed by GE and already manufactured by Denka, Nichia, GE and others
could challenge the dominance of nitrides in display applications thanks to its extremely
narrow band. Quantum Dots (QDs) have also emerged as highly credible options for displays
thanks to design flexibility (adjustable emission wavelength) and very narrow band emission.
YAG is the best yellow phosphor for white LEDs. But its use is restricted by strong IP owned by
Nichia. Silicates are the best substitute but still lag slightly in performance. With critical IP to
start expiring from 2017 and prices significantly lower than any alternative, we expect YAG to
become ubiquitous by the end of the decade and silicate to decrease significantly unless
breakthrough in performance and cost are achieved.
Phosphor IP is a major force in LEDs and contributed heavily in shaping its industry with more
than 70 litigation cases involving around 50 companies. The LED industry keeps bracing for
the expiration of many fundamental patents. This could help relative newcomers such as
Chinese LED packaging companies expand their market overseas. In the meantime, Everlight
has been accentuating its effort to invalidate most of Nichia’s fundamental patents and Osram
and Nichia have continued strictly enforcing their IP via multiple litigations while the BOSE
consortium has expended its licensing program for Silicate phosphors to various Chinese LED
packaging companies.
Note: All data are given in the report (patent assignees, patent numbers, titles, link to original documents …)

IDENTIFY KEY PLAYERS
PATENTED TECHNOLOGY AND IP STRATEGY
IP will keep playing a considerable role in this industry restructuring. In our analysis, we have identified various key players: Nichia,
Cree, Osram, Philips, Seoul Semiconductor, Mitsubishi, …. Thus, we provide a complete and deep understanding of IP litigation history
including litigated patents families and most cited patent families in litigations. The analysis include litigation strategy and licensing
agreement focused on Garnet, Silicates and Nitrides phosphors compositions. For each key players, litigations and licensing are
examined with granted fundamental patents near expiration dates. We have identified key patents which could provide significant
returns to their owners, in terms of market share, freedom of exploitation and additional revenue stream from royalties.
The 7,510+ patented inventions selected for this study
have been manually categorized by technology segment.
The existing Phosphor & QDs for LED applications IP
include LEDs using phosphors or QDs, phosphors
compositions, QDs and LEDs with remote configuration
patents. A special focus is provided on phosphors
compositions (in particular for nitrides and new
compositions) , QDs, free-Cd QDs and Chinese players.
Nichia and Osram lead in garnet compositions. Both had
fundamental patents filed in 1996 regarding YAG, TAG
and multiple other garnet phosphors. They are followed
by Philips and Mitsubishi. Some other players are leading
the Silicates/Orthosilicates segment. However, the
strongest composition patents in this category of
materials belongs to the BOSE consortium including
Leadership of patent assignees
of nitrides/oxynitrides patents
IP LITIGATION ANALYSIS AND KEY PATENTS
Phosphors & QDs for LED Applications Patent Landscape – January 2016
Litigations & licensing : focus on OSRAM
USEFUL PATENT DATABASE (7,500+ patent families)
Our report also includes an Excel database containing all of the analyzed patents (7,500+ patent families). 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 and legal status for each member of the patent family.
Panasonic leads patents assignees for LED with wavelength converters and ranks 7th in patents citing specific phosphor compositions.
While not usually perceived as a leading LED player, the company is very active in LED R&D, including in the development of new
phosphor compositions. But its LED related portfolio extends beyond phosphor related inventions. This broad portfolio allows the
company to operate relatively freely in the LED space. Similarly, Toshiba shows a strong IP related activity despite a relatively
moderate revenue position within the LED industry. It remains to be seem how the company’s recent decision to exit the white LED
business will impact its overall LED lighting strategy.
More than 200 patent applicants are involved in
Phosphors and QDs for LED. Most of the major
LED and Phosphors manufacturers are present in
the list of the top patent applicants, including
Nichia, Cree, Osram, Philips, Toyoda Gosei,
Samsung, LG and Seoul Semiconductor.
The report provides a ranking with all major LED
and phosphor manufacturers present and
analysis of the relative strength of the key patent
holders derived from their portfolio size, patent
citations networks, countries of patents filings,
current legal status of patents. Many key players
are being challenged as their fundamental
patents are approaching their expiration dates.
To keep fending off new entrants, leading LED
makers will increasingly have to rely on more
recent applications, including continuations of
those fundamental patents belonging to the
same families.
Litec/Merck, LWB, Toyoda Gosei. The Nitride / Oxynitride sections are dominated by Japanese players. Others big companies also own
some IP on nitride compositions. Beside, other assignees on the list mention the use of Nitrides with LEDs but, for the most, haven’t
developed compositions themselves. Among the phosphor makers, six companies are the most active in developing other
compositions. In China, the most active companies/universities researching phosphor compositions are mostly focusing on Nitrides but
also on new compositions such as Europium activated Molybdates, Vanadates, Chlorine Borates, Tungstates and Antimonates.
Knowmade © 2015
Note: All data (logos, patent numbers,…) are given in the report
Knowmade © 2015

TABLE OF CONTENT
ABOUT KNOWMADE
Knowmade is a Technology Intelligence and IP Strategy consulting company. We provide Patent Search, Patent Analysis, Patent Valuation, Patent Landscape and
Technology Scouting. 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 and proprietary methodologies for analyzing patents and scientific information. With a solid focus on
Microelectronics, Compound Semiconductors, Optoelectronics, MEMS & Sensors and Advanced Packaging, Knowmade supports research laboratories, industrial
companies and investors in their business development.
ABOUT YOLE
Founded in 1998, Yole Développement has grown to become a group of companies providing marketing, technology and strategy consulting, media in addition to
corporate finance services. With a strong focus on emerging applications using silicon and/or micro manufacturing, Yole Développement group has expanded to include
more than 50 associates worldwide covering MEMS, Compound Semiconductors, LED, Image Sensors, Optoelectronics, Microfluidics & Medical, Photovoltaics, Advanced
Packaging, Nanomaterials and Power Electronics. The group supports industrial companies, investors and R&D organizations worldwide to help them understand markets
and follow technology trends to develop their business.
Dr Audrey Bastard works for
Knowmade in the field of
Microelectronics and
Nanotechnology. She holds a PhD
in Physics from National
Polytechnic Institute of Grenoble,
France in collaboration with
STMicroelectronics, CEA-Leti and
CEMES Toulouse. She also holds a
Materials Engineering Degree from
the Superior Engineering School of
Luminy, Marseille, France.
audrey.bastard@knowmade.fr
Dr Nicolas Baron is CEO and co-
founder of Knowmade. He leads the
Microelectronics and
Nanotechnology scientific and
patent analysis department. He
holds a PhD in Physics from the
University of Nice Sophia-Antipolis,
plus a University Diploma in
Intellectual Property Strategy and
Innovation from the European
Institute for Enterprise and
Intellectual Property (IEEPI
Strasbourg), France.
nicolas.baron@knwowmade.fr
AUTHORS
For each focus:
• Overview
Quantum Dots 141
• Overview
• Countries of Filing for Main Patent Assignees
Focus on QD Compositions (Cd v.s. Cd-free) 161
• Overview
Dr. Eric Virey
Eric VIREY received a Ph-D in
Optoelectronics from the National
Polytechnic Institute of Grenoble. He’s
held various R&D, engineering,
manufacturing and marketing
positions with Fortune 500 company
Saint-Gobain in France and the United
States. In 2009, he joined Yole
Developpement as a Senior Market
and Technology Analyst for LED
Devices and Materials.
virey@yole.fr
Introduction 4
• Scope of the Report
• Key Features of the Report
• Objectives of the Report
• Methodology
• Search Strategy
• Segmentation of Patents
• Technological Segmentation
Executive Summary 21
Status of the LED Industry 43
Phosphor Market Overview 53
Quantum Dots Market Overview 65
Phosphors & QDs IP Overview 76
For each segment (LED wavelength conversion,
Phosphor composition, Remote phosphors,
Quantum dots…):
• Table Technology Segments v.s. Assignees
Phosphor Compositions 94
For each composition (Garnets, Silicates,
Nitrides, New compositions …):
• Table Phosphor Compositions v.s. Assignees
Focus on Nitides/Oxynitrides 112
Focus on New Compositions 125
Focus on China 168
• Overview
For each segment (LED wavelength conversion,
Phosphor composition, Remote phosphors,
Quantum dots…):
Litigations & Licensing Landscape 180
• Chronology of Major Events
• Litigation Plaintiffs and Defendants
• Patents Families Most Cited in Infringement
Litigations
• Litigated Patent Families
• Litigation – Time Histogram
• Litigation date vs. Priority Date
• Litigation Strategies
• Phosphor Patent Licensing Activity: 2001-2015
Chronology
• Licensing: Historical Events (1996-2012)
• Licensing: Recent Events (2013-2015)
• Licensing: Focus on Silicates and the BOSE
Consortium
• Licensing: Focus on Nitrides
• Litigation and Licensing: Focus on Nichia, Osram,
Cree, Philips, Seoul Semiconductor, Intematix,
Mitsubishi chemicals, Toyoda Gosei.
• Invalidation Attempts
• Conclusion
Focus on The Everlight – Nichia Patent War 226
Expiring Patents Analysis 233
Conclusions 241
Phosphors & QDs for LED Applications Patent Landscape –January 2016
COMPANIES CITED IN THE REPORT (NON-EXHAUSTIVE)
3M, Advanced Optoelectronic Technology (AOT), Bree Optronics (Jiangsu), Bridgelux, Citizen Electronics, Citizen Holdings, Cree, Denka, Epistar, Everlight, General Electric
(GE), GRIREM Advanced Materials, Harvatek, Hongli Optoelectronic (Guangzhou), Intematix, Irico, Industrial Technology Research Institute (ITRI), Korea Research Institute
of Chemical and Technology (KRICT), Lextar Electronics, LG, Lite On, Lumileds, Lumination, Merck, Mitsubishi, Nichia, NIMS, Osram, Panasonic, Patent Treuhand, Philips,
Refond, Rohm, Samsung, Seoul Semiconductor, Sharp, Soochow University, Stanley Electric, Sumitomo, Sunfor Light, Taiwan Oasis Technology, Toshiba, Toyoda Gosei,
Tridonic, Unity Opto Technology, Zhanjing Technology

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