By Michael Oblon, Matt Johnson, and Nick Bagnolo –
Although first briefly mentioned as a possibility in the August 2018 Trial Practice Guide Update (page 10), outside of one instance (Bio-Rad Labs. v. 10X Genomics, IPR2019-00567; -00568, August 8, 2019), PTAB discretionary institution denials under 35 U.S.C. § 314(a) based on ITC proceedings were a non-occurrence. But the expanded discussion of ITC-relevance in the Fintiv precedential decision (pages 8-9) has brought on a flurry of Patent Owner Preliminary Response arguments against institution based on parallel ITC matters. And since mid-October 2020, many of those Patent Owner arguments have been successful in getting institution denied.
The following case tracking tables identify institution decisions that discuss PTAB discretion to deny institution under § 314(a) in view of ITC proceedings (post Fintiv other than the Bio-Rad v. 10X Genomics case). Pending rehearing requests and other anticipated institution decisions where this is likely to be discussed are also identified.
Issued Institution Decisions
| Case No. | Caption | PTAB Filing Date | ITC Filing Date | PTAB Petition Lag Time(Days) | Judge(s) (Authoring Judge) | Institution Decision | Decision Date |
| IPR-2022-00132 | Luxshare Precision Industry Co., LTD v. Amphenal Corp. | 11/4/2021 | 12/22/2020 | 317 | Miriam L. Quinn, Jon B. Tornquist, Avelyn M. Ross | Denied | 5/3/2022 |
| IPR2021-01578 | Google LLC v EcoFactor, Inc. | 9/29/2021 | 2/26/2021 | 215 | Wesley B. Derrick, Jeffrey W. Abraham, Scott B. Howard | Denied | 3/18/2022 |
| IPR-2021-01531 | Volkswagen Group of America, Inc. v. Arigna Technology Ltd. | 9/14/2021 | 5/21/2021 | 116 | Garth D. Baer, Sharon Fenick, Iftikhar Ahmed | Granted | 3/16/2022 |
| IPR2021-01382 | Infineon Techs. AG v. Arigna Tech. LTD | 8/16/2021 | 5/21/2021 | 87 | Garth D. Baer, Sharon Fenick, Iftikhar Ahmed | Granted | 2/22/2022 |
| IPR2021-00970, -971, -972 | Apple, Inc. v. Alivecor, Inc. | 6/9/2021 | 4/20/2021 | 50 | Robert A. Pollock, Eric C. Jeschke, David Cotta | Granted | 12/8/2021 |
| IPR2021-00949 | Samsung Electronics Co., Ltd et al v. Evolved Wireless LLC | 5/16/2021 | 2/2/2021 | 103 | Patrick M. Boucher, Terrence W. McMillin, Jason M. Repko | Denied | 11/29/2021 |
| IPR2021-00794 | Satco Products, Inc. v. The Regents of the University of Cal. | 4/9/2021 | 7/30/2019 | 619 | Jennifer S. Bisk, Christopher L. Crumbley, Steven M. Amundson | Denied | 11/10/2021 |
| IPR2021-00661 | Satco Products, Inc. v. The Regents of the University of Cal. | 4/9/2021 | 7/30/2019 | 619 | Jennifer S. Bisk, Christopher L. Crumbley, Steven M. Amundson | Denied | 11/8/2021 |
| IPR2021-00754 | Hewlett Packard Enterprise Co. et al v. Q3 Networking LLC | 4/6/2021 | 9/22/2020 | 196 | Barbara A. Parvis, Jo-Anne M. Kokoski, Russell E. Cass | Denied | 10/8/2021 |
| IPR2021-00659 | Canadian Solar Inc. et al v. The Solaria Corp. | 3/15/2021 | 9/15/2020 | 181 | Terrence W. McMillin, Jon M. Jurgovan, Monica S. Ullagaddi | Denied | 9/30/2021 |
| IPR2021-00545 | SharkNinja Operating LLC et al v. iRobot Corp. | 2/26/2021 | 1/28/2021 | 25 | Barry L. Grossman, Terrence W. McMillin, Jason W. Melvin | Granted | 9/8/2021 |
| PGR2021-00046 | Kiss Nail Products, Inc. v. Lashify, Inc. | 2/5/2021 | 9/10/2020 | 148 | Neil T. Powell, Eric C. Jeschke, David Cotta | Denied | 8/9/2021 |
| IPR2021-00328 | Intel Corp. v. Koninklijke Philips N.V. | 12/31/2020 | 9/18/2020 | 104 | Kevin F. Turner, David C. McKone, Scott Raevsky | Denied | 7/16/2021 |
| IPR2021-00263 | Roku Inc. v. Universal Electronics Inc. | 12/14/2020 | 4/16/2020 | 242 | Patrick M. Boucher, Minn Chung, Russell E. Cass | Denied | 7/12/2021 |
| IPR2021-00264 | Roku Inc. v. Universal Electronics Inc. | 12/14/2020 | 4/16/2020 | 242 | Patrick M. Boucher, Minn Chung, Russell E. Cass | Denied | 7/12/2021 |
| IPR2021-00311 | Ocado Group PLC v. AutoStore Tech AS | 12/11/2020 | 10/1/2020 | 71 | Miriam L. Quinn, Frances L. Ippolito, Alyssa A. Finamore | Granted | 6/28/2021 |
| IPR2021-00544 | SharkNinja Operating LLC et al v. iRobot Corp. | 2/24/2021 | 1/28/2021 | 27 | Terrence W. McMillin, Amanda F. Wieker, Jason W. Melvin | Denied | 6/25/2021 |
| PGR2021-00015 | Allergan, Inc. v. BTL Medical Technologies SRO | 12/14/2020 | 8/5/2020 | 131 | Josiah C. Cocks, Barbara A. Parvis, David Cotta | Denied | 6/17/2021 |
| PGR2021-00016 | Allergan, Inc. v. BTL Medical Technologies SRO | 12/14/2020 | 8/5/2020 | 131 | Josiah C. Cocks, Barbara A. Parvis, David Cotta | Denied | 6/17/2021 |
| IPR2021-00274 | Ocado Group PLC v. AutoStore Tech AS | 12/11/2020 | 10/1/2020 | 71 | Frances L. Ippolito, Scott B. Howard, Alyssa A. Finamore | Instituted | 6/3/2021 |
| IPR2021-00095 | Canadian Solar Inc. v. The Solaria Corp. | 11/3/2020 | 9/15/2020 | 49 | Terrence W. McMillin, Jon M. Jurgovan, Monica S. Ullagaddi | Denied | 5/26/2021 |
| IPR2021-00132 | 10X Genomics, Inc. v. Bio-Rad Labs, Inc. | 10/30/2020 | 7/31/2020 | 91 | Sheridan K. Snedden, Zhenyuy Yang, Christopher G. Paulraj | Denied | 5/14/2021 |
| IPR2020-01572 | Stanley Black & Decker, Inc. v. Zircon Corp. | 9/3/2020 | 8/31/2020 | 3 | Thomas L. Giannetti, Charles J. Boudreau, Wesley B. Derrick | Denied | 4/19/2021 |
| IPR2020-01701 | Stanley Black & Decker, Inc. v. Zircon Corp. | 9/28/2020 | 8/31/2020 | 28 | Thomas L. Giannetti, Charles J. Boudreau, Wesley B. Derrick | Denied | 4/19/2021 |
| IPR2020-01602 | Philip Morris Products, SA v. RAI Strategic Holdings, Inc. | 9/18/2020 | 4/9/2020 | 162 | Jo-Anne M. Kokoski, Elizabeth M. Roesel, Michelle N. Ankenbrand | Granted | 4/2/2021 |
| IPR2020-01238 | Apple Inc. v. Solas OLED LTD | 7/8/2020 | 9/14/2020 | -68 | Sally C. Medley, Jessica C. Kaiser, Julia Heaney | Denied | 1/22/2021 |
| IPR2020-01030 | Cixi City Liyuan Auto Parts Co. LTD et al. v. Laurmark Enterprises, Inc. | 6/2/2020 | 11/26/2019 | 189 | Patrick R. Scanlon, John P. Pinkerton, Michael L. Woods | Denied | 1/13/2021 |
| IPR2020-01094 | Philip Morris Products SA v. RAI Strategic Holdings, Inc. | 6/12/2020 | 4/9/2020 | 64 | Jeffrey W. Abraham, Elizabeth M. Roesel, Michelle N. Ankenbrand | Granted | 1/25/2021 |
| IPR2020-01317 | Regeneron Pharms., Inc. v. Novartis Pharma AG, Novartis Technology LLC, Novartis Pharmaceuticals Corporation | 7/16/2020 | 6/19/2020 | 27 | Erica A. Franklin, Robert L. Kinder, Kristi L. R. Sawert | Denied | 1/15/2021 |
| IPR2020-01097 | Philip Morris Products SA v. RAI Strategic Holdings, Inc. | 6/12/2020 | 4/9/2020 | 64 | Jeffrey W. Abraham, Elizabeth M. Roesel, Michell N. Ankenbrand, Per Curiam | Denied | 1/19/2021 |
| IPR2020-01239 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 7/6/2020 | 9/26/2019 | 284 | Kristina M. Kalan, Jon B. Tornquist, Jeffrey W. Abraham | Denied | 1/12/2021 |
| IPR2020-01240 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 7/6/2020 | 9/26/2019 | 284 | Kristina M. Kalan, Jon B. Tornquist, Jeffrey W. Abraham | Denied | 1/12/2021 |
| IPR2020-01197 | Nintendo Co., Ltd. et al v. Gamevice, Inc. | 6/26/2020 | 3/27/2020 | 91 | Josiah C. Cocks, Robert L. Kinder, Matthew S. Meyers | Denied | 1/12/2021 |
| IPR2020-00991 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 5/27/2020 | 9/26/2019 | 244 | Jon B. Tornquist, Jeffrey W. Abraham, Michelle N. Ankenbrand | Denied | 11/30/2020 |
| IPR2020-00992 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 5/27/2020 | 9/26/2019 | 244 | Jon B. Tornquist, Jeffrey W. Abraham, Michelle N. Ankenbrand | Denied | 11/30/2020 |
| IPR2020-01036 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 6/4/2020 | 9/26/2019 | 252 | Kristina M. Kalan, Jon B. Tornquist, Jeffrey W. Abraham | Denied | 11/30/2020 |
| IPR2020-00981 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 5/26/2020 | 9/26/2019 | 243 | Jon B. Tornquist, Jeffrey W. Abraham, Michelle N. Ankenbrand | Denied | 11/30/2020 |
| IPR2020-00982 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 5/26/2020 | 9/26/2019 | 243 | Jon B. Tornquist, Jeffrey W. Abraham, Michelle N. Ankenbrand | Denied | 11/30/2020 |
| IPR2020-00987 | SK Innovation Co., Ltd. et al v. LG Chem, Ltd. et al | 5/26/2020 | 9/26/2019 | 243 | Kristina M. Kalan, Christopher Kaiser, Jeffrey W. Abraham | Denied | 11/30/2020 |
| IPR2020-00968 | Google LLC f/k/a Google Inc. v. EcoFactor, Inc. | 5/21/2020 | 10/23/2019 | 211 | Wesley B. Derrick, Jeffrey W. Abraham, Scott B. Howard | Denied | 11/18/2020 |
| IPR2020-00754 | Garmin International, Inc. et al v. Koninklijke Philips NV f/k/a Koninklijke Philips Electronics NV | 4/2/2020 | 12/10/2019 | 114 | Stacey G. White, Michelle N. Wormmeester, Norman H. Beamer | Denied | 10/27/2020 |
| IPR2020-00946 | Google LLC f/k/a Google Inc. v. EcoFactor, Inc. | 5/15/2020 | 10/23/2019 | 205 | Wesley B. Derrick, Jeffrey W. Abraham, Scott B. Howard | Denied | 11/18/2020 |
| IPR2020-00947 | Google LLC f/k/a Google Inc. v. EcoFactor, Inc. | 5/15/2020 | 10/23/2019 | 205 | Wesley B. Derrick, Jeffrey W. Abraham, Scott B. Howard | Denied | 11/18/2020 |
| IPR2020-00772 | Fitbit, Inc. et al v. Koninklijke Philips NV f/k/a Koninklijke Philips Electronics NV | 4/2/2020 | 12/10/2019 | 114 | Patrick R. Scanlon, Frances L. Ippolito, James J. Mayberry | Denied | 10/19/2020 |
| IPR2020-00771 | Fitbit, Inc. et al v. Koninklijke Philips NV f/k/a Koninklijke Philips Electronics NV | 4/2/2020 | 12/10/2019 | 114 | Patrick R. Scanlon, Frances L. Ippolito, James J. Mayberry | Denied | 10/19/2020 |
| IPR2020-00919 | Philip Morris Products SA v. RAI Strategic Holdings, Inc. | 5/18/2020 | 4/9/2020 | 39 | Jo-Anne M. Kokoski, Elizabeth M. Roesel, Michelle N. Ankenbrand, Per Curiam | Denied | 11/16/2020 |
| IPR2020-00800 | Comcast Cable Communications, LLC v. Rovi Guides, Inc. | 4/17/2020 | 4/26/2019 | 357 | Karl D. Easthom, Robert J. Weinschenk, Kristi L.R. Sawert | Denied | 10/22/2020 |
| IPR2020-00801 | Comcast Cable Communications, LLC v. Rovi Guides, Inc. | 4/17/2020 | 4/26/2019 | 357 | Karl D. Easthom, Robert J. Weinschenk, Kristi L.R. Sawert | Denied | 10/22/2020 |
| IPR2020-00802 | Comcast Cable Communications, LLC v. Rovi Guides, Inc. | 4/17/2020 | 4/26/2019 | 357 | Karl D. Easthom, Robert J. Weinschenk, Kristi L.R. Sawert | Denied | 10/22/2020 |
| IPR2020-00502 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Granted | 8/12/2020 |
| IPR2020-00499 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Granted | 8/12/2020 |
| IPR2020-00504 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Granted | 8/12/2020 |
| IPR2020-00505 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Granted | 8/12/2020 |
| IPR2020-00778 | Apple Inc. et al v. Neodron Ltd. | 4/16/2020 | 2/14/2020 | 62 | Miriam L. Quinn, Patrick M. Boucher, Christopher L. Ogden | Granted | 9/14/2020 |
| IPR2020-00779 | Apple Inc. et al v. Neodron Ltd. | 4/10/2020 | 2/14/2020 | 56 | Miriam L. Quinn, Patrick M. Boucher, Christopher L. Ogden | Granted | 9/14/2020 |
| IPR2020-00223 | 3Shape A/S et al v. Align Technology, Inc. | 12/9/2019 | 12/10/2018 | 364 | Hyun J. Jung, John P. Pinkerton, James J. Mayberry | Granted | 5/26/2020 |
| IPR2019-00567 | Bio-Rad Labs., Inc. v. 10X Genomics, Inc. | 1/15/2019 | 1/11/2018 | 369 | Erica A. Franklin, Richard J. Smith, Kristi L. R. Sawert | Denied | 8/8/2019 |
| IPR2019-00568 | Bio-Rad Labs., Inc. v. 10X Genomics, Inc. | 1/15/2019 | 1/11/2018 | 369 | Erica A. Franklin, Richard J. Smith, Kristi L. R. Sawert | Denied | 8/8/2019 |
Issued Rehearing Decisions
| Case No. | Caption | PTAB Filing Date | ITC Filing Date | PTAB Lag Time | Judges | Decision | Institution Decision Date | Rehearing Request Date | Rehearing Decision Date |
| IPR2021-00544 | Sharkninja Operating LLC et al. v. iRobot Corp. | 2/24/2021 | 1/28/2021 | 27 | Terrence W. McMillin, Amanda F. Wieker, Jason W. Melvin | Rehearing Request Granted | 6/25/2021 | 7/8/2021 | 11/17/2021 |
| IPR2020-00946 | Google LLC v. Ecofactor, Inc. | 5/15/2020 | 10/23/2019 | 205 | Wesley B. Derrick, Jeffrey W. Abraham, Scott B. Howard | Rehearing Denied | 10/14/2021 | 12/18/2020 | |
| IPR2020-00754 | Garmin Int’l, Inc. et al v. Koninklijke Philips N.V. | 4/2/2020 | 12/10/2019 | 114 | Per Curiam | POP Denied
Rehearing Denied |
10/27/2020 | 12/1/2020 | 6/25/2021 |
| IPR2020-01197 | Nintendo Co., Ltd. et al v. Gamevice, Inc. | 6/26/2020 | 3/27/2020 | 91 | Per Curiam | POP Denied | 1/12/2021 | 3/24/2021 | 6/25/2021 |
| IPR2020-01097 | Philip Morris Products SA v. RAI Strategic Holdings, Inc. | 6/12/2020 | 4/9/2020 | 64 | Per Curiam | POP Denied | 1/19/2021 | 3/24/2021 | 6/25/2021 |
| IPR2020-00504 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Rehearing Denied; Institution Upheld | 8/12/2020 | 8/26/2020 | 10/13/2020 |
| IPR2020-00502 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Rehearing Denied; Institution Upheld | 8/12/2020 | 8/26/2020 | 10/13/2020 |
| IPR2020-00505 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Rehearing Denied; Institution Upheld | 8/12/2020 | 8/26/2020 | 9/18/2020 |
| IPR2020-00499 | Samsung Electronics Co., Ltd. et al v. Dynamics Inc. | 1/31/2020 | 7/12/2019 | 203 | Trevor M. Jefferson, Georgianna W. Braden, Jon M. Jurgovan | Rehearing Denied; Institution Upheld | 8/12/2020 | 8/26/2020 | 10/5/2020 |
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Matthew Johnson
Partner at Jones Day
Matt Johnson is one of the Firm's primary contacts on practice before the PTAB. Currently co-chairing the Firm's PTAB subpractice and involved in proceedings at the Board since the first day of their availability in September 2012, Matt regularly represents clients as both petitioners and patent owners at the Board. He further works as an advocate for clients in appeals from Board proceedings at the Federal Circuit.
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