Monday, July 18, 2011

How to track transfer of patents' ownership in Patstat

One indicator of value related to a patent may be the change of ownership. The idea is simple: if somebody is willing to buy my idea, maybe it's worty.
Ownership change can also be a way of individuating patent trolls.

In pastat applicant data may change each ediction"the names and addresses are taken from the most recent publication of an application. In PATSTAT we discard names for earlier publications of the same application.

E.g. if we have names for a published US application, and also for a US published grant, then PATSTAT ignores the names for the published application. If there are more than 1 publications of the grant, then only the names from the latest publication are stored in PATSTAT.
" [from pastat docs]

If we need an easier way to track the change of ownership we may use TLS221_inpadoc_prs data where among PRS code we may find change of ownership and the name of new owner.

Some examples are
RAP1 TRANSFER OF RIGHTS OF AN EP APPLICATION
RAP2 TRANSFER OF RIGHTS OF AN EP PUBLICATION

for EPO (in appendix I'll try to make the most complete possible list for all patent offices), being aware that field L509EP contains the names of those to whom was tranferred the property.

FI: EP 1020876 in it's legal status file shows 3 records with cange of ownership on 2003/03/19:

    AUTONETWORKS TECHNOLOGIES, LTD.
    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.

anyway if we look @ the application or @ the original document we find 3 owner, exactly:

    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.
and ----  HARNESS SYST TECH RES LTD

If we look in Patstat 201010 we find:

    AUTONETWORKS TECHNOLOGIES, LTD.
    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.

Eventually if in espacenet we press  + key next tot applicant name, 4 applicants pop up:
    AUTONETWORKS TECHNOLOGIES, LTD.
    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.
        HARNESS SYST TECH RES LTD

Making a resume:


In espacenet we find the original applicants, 
pressing +, we get all the owners, even if they do not own the patent anymore

In prs legal data we get, with events of ownership change, all the new owners (if we change only 1 owner out of 50 we will have 49 records with old owners + 1 for new owner)
Patstat always contains the last owner.


APPENDIX: partial list of ownership change status
appln_ctry
prscode1
description
AT
PD9K
CHANGE OF OWNER OF UTILITY MODEL

AT
TC9K
CHANGE OF COMPANY

BE
CH
ENTRY OF CHANGE OF NAME AND/OR HEADQUARTER AND TRANSFER OF APPLICATION,PATENT AND CERTIF. OF ADDITION OF INVENTION: CHANGE OF NAME ON REQUIREMENT

BE
CN
ENTRY OF CHANGE OF NAME AND/OR HEADQUARTER AND TRANSFER OF APPLICATION,PATENT AND CERTIF. OF ADDITION OF INVENTION: CHANGE OF HEADQUARTER REFUSED

CH
SPCP
CERTIFICATES - MODIFICATION OF FIRM

CN
ASS
SUCCESSION OR ASSIGNMENT OF PATENT RIGHT

DD
ASS
CHANGE OF APPLICANT OR OWNER

DE
8327
CHANGE IN THE PERSON/NAME/ADDRESS OF THE PATENT OWNER

DE
8127
NEW PERSON/NAME/ADDRESS OF THE APPLICANT

EP
RAP1
TRANSFER OF RIGHTS OF AN EP APPLICATION

EP
RAP2
TRANSFER OF RIGHTS OF AN EP PUBLICATION

EP
BECN
BE: CHANGE OF HOLDER'S NAME

EP
BECA
BE: CHANGE OF HOLDER'S ADDRESS

EP
BECH
BE: CHANGE OF HOLDER

EP
BE20
BE: PATENT EXPIRED

EP
ITPR
IT: CHANGES IN OWNERSHIP OF A EUROPEAN PATENT

FI
GB
Transfer of assigment of application

FI
PC
Transfer of assignment of patent

GB
COOA
CHANGE IN APPLICANT'S NAME OR OWNERSHIP OF THE APPLICATION

HK
AS
CHANGE OF OWNERSHIP

IL
HP
CHANGES IN PROPRIETORSHIP

LT
PD9A
CHANGE OF THE GRANTEE

LT
PC9A
TRANSFER OF PATENTS

MD
PD4A
CHANGE OF PROPRIETORSHIP

NL
CD
TRANSFER OF RIGHTS (LAID OPEN PATENT APPLICATION)

NL
CNR
TRANSFER OF RIGHTS (PATENT APPLICATION AFTER ITS LAYING OPENFOR PUBLIC IN

NZ
ASS
CHANGE OF OWNERSHIP

PT
PC4K
TRANSFER OF ASSIGNMENT (UTILITY MODEL)

PT
PD4K
CHANGE OF PROPRIETORSHIP (UTILITY MODEL)

PT
PC3K
TRANSFER

PT
PD3K
CHANGE OF PROPRIETORSHIP

PT
PD3A
CHANGE OF PROPRIETORSHIP

PT
PD4A
CHANGE OF PROPRIETORSHIP

2 comments:

xiaohuli said...

Thanks for your blog - it's been really helpful to me. I have a question on this subject though:

For the firms I'm looking at I find that a lot of the entries in TLS221_inpadoc_prs are assignments of rights from employees of a firm to the firm itself.

Take this patent for example:
http://worldwide.espacenet.com/publicationDetails/biblio?CC=US&NR=5814998A&KC=A&locale=en_EP&date=&FT=D

It seemed to have stayed with Siemens for the whole time but it shows up in TLS221_inpadoc_prs as follows:
52543662 1 1996-08-05 AS 2702 9999-12-31 SIEMENS AKTIENGESELLSCHAFT, GERMANY ASSIGNMENT OF ASSIGNORS INTEREST;ASSIGNORS:GRUENEWALD, PETER;WEIDNER, JUERGEN;SCHIMMELPFENNIG, GERHARD;AND OTHERS;REEL/FRAME:008106/0719

Do you have any ideas on how to distinguish between "real" transfers of ownership and these kinds of transfers/assignments within the same company?

GL said...

Dear xiaohuli, I'm going soon to write a post on how to use EP register for making a real discrimination on it... but that will be useful for EPO data... in US data you might do it by discriminating whether former assignor are the inventors listed in the patent... hope it helps

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