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									Interdisciplinary
Nanotechnology
Commercialization: The
Next Wave
Through the Eyes of a Patent Attorney
Presented by: Michael D. Specht

Washington Academy of Sciences Forum
Nanotechnology: An Interdisciplinary Endeavor
January 17, 2006
Nanotechnology Commercialization




                                   2
Nanotechnology Commercialization:
Racing Forward?




                    Credit: Y. Shira/Rice University
                                                       3
Nanotechnology Commercialization:
Racing Forward?

  “There tends to be a perception on the part of
  the public and many policymakers that
  nanotechnology is something in the far future.
  Our company, and others, prove that the
  technology and the associated business
  opportunities are here today.”

                      - Harris Goldberg,
                      President & CEO
                      Inmat



                                                   4
Markets Measuring Nanotechnology

                                   Nanosys files S1
     21st Century Nano R&D Act



                                 Nanosys withdraws S1




                                                        5
                                Index Value




                 0
                     50
                          100
                                 150
                                       200
                                              250
                                                    300
                                                          350

     1/13/2003

     4/13/2003

     7/13/2003

    10/13/2003

     1/13/2004

     4/13/2004

     7/13/2004

    10/13/2004

     1/13/2005
                                                                M e rrill L y n c h N a n o te c h In d e x




     4/13/2005

     7/13/2005

    10/13/2005
                                                                                                              Markets Measuring Nanotechnology




6
                           Index Value




                 0
                     20
                          40
                               60
                                    80
                                         100
                                               120
                                                     140
    12/31/2003

     2/29/2004

     4/30/2004

     6/30/2004

     8/31/2004

    10/31/2004

    12/31/2004

     2/28/2005

     4/30/2005

     6/30/2005
                                                           Punk Ziegel & Co. Nanotech Index




     8/31/2005

    10/31/2005

    12/31/2005
                                                                                              Markets Measuring Nanotechnology




7
                                                                                                                    Index Value




                                                          0
                                                                20
                                                                                                                   40
                                                                                                                        60
                                                                                                                             80
                                                                                                                                  100
                                                                                                                                        120
                                                                                                                                              140
                                       12/31/2003

                                        2/29/2004

                                        4/30/2004

                                        6/30/2004

                                        8/31/2004

                                       10/31/2004

                                       12/31/2004

                                        2/28/2005

                                        4/30/2005

                                        6/30/2005
                                                                                                                                                    Punk Ziegel & Co. Nanotech Index




                                Index Value
                                        8/31/2005




                 0
                     50
                          100
                                 150
                                       200
                                              250
                                                    300
                                                          350




     1/13/2003
                                       10/31/2005
     4/13/2003
                                       12/31/2005
     7/13/2003


    10/13/2003


     1/13/2004

     4/13/2004


     7/13/2004
                                                                                                                                                                                       Need for Another View?




    10/13/2004


     1/13/2005
                                                                     M e rrill L y n c h N a n o te c h In d e x




     4/13/2005

     7/13/2005


    10/13/2005
8
A View of Commercialization
Through Patent Activity




                              9
Commercialization Phases From a
Patent Perspective (Simplified View)

•       Create
    - Discovery and Invention Phase
•       Protect
    -     Patenting
•       Commercialize
    -    Licensing
    -    Mergers & Acquisitions
    -    Sales
    -    Litigation




                                       10
A View of Commercialization
Through Patent Activity

                                    Nanotube Patents Issued by Year
               250


               200
 P a te n ts




               150


               100


                50


                 0
                     1994   1995   1996   1997   1998   1999   2000   2001   2002   2003   2004

                                                        Year

                                                                                                  11
In Case of Doubt, Regarding the
Interdisciplinary Nature of Nanotechnology

•   56 different patent classes

•   Most common patent classes
    -   257 – Active Solid State Devices (17)
    -   313 – Electric Lamp & Discharge Devices (17)
    -   423 – Chemistry of Inorganic Compounds (23)
    -   438 – Semiconductor Device Manufacturing (23)

•   103 different art units

• 142 different examiners (109 examiners
examined only one nanotube patent application)


                                                        12
 Commercialization: The Next Wave
 Nanotube Patent Landscape
                           Patents Claiming Nanotubes (10)


                         Patents on Production Methods (38)


                      Arc (11)            Laser (3)          CVD (24)


                                           Patents on General Purpose
                                           Tools & Processes (20)


                                 Application Patents (238)


Materials (52)   Circuits (110)    Sensors (13)       MEMS(8)     Energy (37)   Manipulation
                                                                                & Probes (18)


                                                      Storage (12)         Conversion (25)


                        Hydrogen Storage/
                        Electrochemical (17)           Photovoltaics (3)    Thermal/Kinetic (5)

Source: The Handbook of Nanotechnology                                                            13
Commercialization: The Next Wave

•   Licensing
•   Mergers & Acquisitions
•   Sales and Litigation




                                   14
Commercialization through the Patenting
Crystal Ball
• Extensive nanotech patenting will continue for at
least several years (integration, nano-macro
interfaces, manufacturing methods).

• Weak patent positions will be strengthened. Need
bedrock foundation. (VCs demand it, Large companies
understand it)

• Companies will continue to strengthen their
commercialization position through licensing (university
and company-company) and M&A.

• Patent litigation will mark the start of serious
 commercialization or vice versa.
                                                           15
Disclaimers & Contact Information

        These materials are not intended and should not be used as legal advice.
  If you need legal advice or an opinion on a specific issue or factual situation, please
 consult an attorney. Answering questions or the use of this material does not form or
 constitute an attorney-client relationship. These material are for information purposes
           only and should not be relied upon as a substitute for legal advice

  The presentation reflects only the current considerations and views of the authors,
which should not be attributed to Sterne, Kessler, Goldstein & Fox P.L.L.C. or any of its
                                current or former clients.

                     For More Information, please contact


                              Michael D. Specht
                      202-772-8756 or mspecht@skgf.com




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