| 姓名 |
鍾佳樺(Chia-hua Chung)
查詢紙本館藏 |
畢業系所 |
產業經濟研究所 |
| 論文名稱 |
專利權人類型與專利移轉之實證分析：以Ocean Tomo為例
(The empirical study on types of patentees and patent transfer: The case of Ocean Tomo)
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| 相關論文 | |
| 檔案 |
 [Endnote RIS 格式]
[Bibtex 格式]
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| 摘要(中) |
不同專利權人類型對於專利維護及專利移轉決策會產生不同影響，專利權人會依照其主觀衡量該專利之價值進行決策，若其認為維護專利所帶來之財務價值大於其所需付出之成本時，則可能會選擇維護。文獻顯示個體及小型創新者專利權人傾向移轉專利，而專利授權公司(NPEs)則傾向專利授權及訴訟，因此專利權人之不同對於專利運用之方式就有所不同。本研究主要是探討不同專利權人對於專利移轉之影響，為了獲得專利之實際價格，故以Ocean Tomo於2006年至2008年共7場的專利現場拍賣為樣本，但僅以美國專利組合為主體，並參考PatentFreedom、Webpat、USPTO以及Delphion專利資料庫以補原始資料之不足。
本研究以Heckman two-step selection model為研究方法，經實證探討專利特性變數與專利拍賣變數對專利成交與否及專利加權價格之影響。於專利特性變數方面，專利年齡、專利前引用數、申請專利範圍、專利技術覆蓋範圍方面皆與過去文獻結果一致；專利權人方面，本研究特別探討專利授權公司(NPEs)，發現其於專利成交方面及專利價格方面皆顯著正向，故認為此種專利權人具有某種程度之價值訊息。另外，於專利維護日至專利拍賣日之連續時間方面，實證發現其若連續時間小於一年，則其較具有專利價值。於專利拍賣特性變數方面，若前一專利組合拍賣物成交，則可能會因為氣氛熱絡導致下一拍賣物較易成交且成交價也高。另外，若賣方採取起標價拍賣模式，也較易成交。最後，透過兩大區域及拍賣時間分別探討，發現美國專利於美國或歐洲拍賣其成交與否和成交價也存在顯著之不同。而於專利拍賣時間變數方面，則可發現隨著累積拍賣場次增加，其對成交與否以及成交價皆有正向之影響。
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| 摘要(英) |
Different types of patentees will have different effect on patent renewal decisions and patent transfer decisions. Patentees will in accordance with patent value measured by them to make decisions. If financial value of the patent is greater than renewal cost, then they may choose to renew the patent. Previous Literature shows that individuals and small innovator patentees tend to be more willing to transfer theirs patents, and Non-Practicing Entities (NPEs) tend to licensing and litigation, so different types of patentees use theirs patents in different ways. This study is aimed to examine the influence of different patentees on patent transfer. In order to obtain the patent transaction price, we use the auction data from the seven Live Auctions of Ocean Tomo in 2006 -2008, but only with US patent portfolios. Our data sources also include PatentFreedom, Webpat, USPTO, and Delphion patent search database.
In this study, we use Heckman two-step selection model to explore the effect of different patentees on weighted transaction price of patent transfer. In terms of patent characteristics variables, we find that the effects of patent elapsed time, forward citations, patent claim and scope are consistent with the results of the related literature. As for the patentee, our study emphasizes Non-Practicing Entities (NPEs), and we find that it has significantly positive effect on the probability of patent transfer and patent price. This implies that such a patentee has some degree of value signal. In addition, the patent is more valuable if patent renewal is within one year. Also, it is easier to transfer the next patent portfolio with high price if the last auction ends up with a sale. It is also easier to transfer the patent if patentees take the opening bid as auction mode. Finally, patent auctions in the United States or Europe are significantly different in patent transfer probability and the patent price. So does the patent auction time variables.
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| 關鍵字(中) |
★ Heckman two-step selection model
★ 專利權人-NPEs
★ 專利價值
★ 專利拍賣 |
關鍵字(英) |
★ patentee-NPEs
★ patent value
★ patent auction
★ Heckman two-step selection model |
| 論文目次 |
摘要 i
Abstract ii
誌謝辭 iii
目錄 iv
圖目錄 vi
表目錄 vi
一、緒論 1
1-1 研究背景 1
1-2 研究目的 4
1-3 研究架構 6
二、文獻回顧 7
2-1 專利權人類型(types of patentees)對於專利移轉之影響 7
2-2 專利維護(renewal)對於專利移轉之影響 10
2-3 其他專利個體特性與專利移轉之連結 11
2-3-1 專利引文數(citations)對專利移轉之影響 11
2-3-2 專利訴訟(litigation) 12
2-3-3 申請專利範圍(claims) 12
2-3-4 專利技術覆蓋範圍(scope) 13
2-3-5 專利年齡(age) 14
2-4 小結-專利私下交易與專利現場拍賣 15
三、研究方法 18
3-1 模型設定 18
3-2 內生性問題 21
四、資料及變數說明 22
4-1 研究對象與資料來源 22
4-2 變數說明 25
4-3 變數及預期結果 25
4-3-1 應變數(dependent variable) 25
4-3-2 自變數(independent variable) 26
五、實證結果 38
5-1 第一階段選擇方程式 38
5-2 第二階段價值方程式 40
六、結論與建議 46
6-1 結論 46
6-2 研究限制及未來方向 47
參考文獻 48
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| 參考文獻 |
一、英文部分(依英文字母順序排列)
[1]Bessen, J. (2008).“ The value of U.S. patents by owner and patent characteristics.” Research Policy, 37(5), 932-945.
[2]Burhop, C. (2010). “The Transfer of Patents in Imperial Germany.” The Journal of Economic History, 70(4),921-939.
[3]Bessen, J., J. Ford and M. J. Meurer (2011). “The Private and Social Costs of Patent Trolls.” Boston University School of Law Working Paper, 11-45.
[4]Gronqvist, C. (2009). “The private value of patents by patent characteristics:evidence from Finland.” The Journal of Technology Transfer, 34(2), 159–168.
[5]Harhoff, D., F. Narin, F. M. Scherer and K. Vopel (1999). “Citation frequency and the value of patented inventions.” The review of Economics and Statistic, 81(3), 511-515.
[6]Hall, B. H., A. Jaffe and M. Trajtenberg (2005). “Market value and patent citations.” The RAND Journal of Economics, 36(1), 16-38.
[7]Lerner, J. (1994). “The importance of patent scope: an empirical analysis.” The RAND Journal of Economics, 25(2), 319-333.
[8]Lanjouw, J. O. and M. Schankerman (1997). “Stylised fact of patent litigation: value, scope and ownership.” NBER Working Paper 6297.
[9]Sneed, K. A. and D. K. N. Johnson (2009). “Selling ideas: the determinants of patent value in an auction environment.” R&D Management, 39(1), 87-94.
[10]Serrano, C. J. (2010). “The dynamics of the transfer and renewal.” RAND Journal of Economics, 41(3), 686-708.
二、中文部分
[1]林日侖，「專利拍賣實證分析：以Ocean Tomo Auction 為例」，國立中央大學，碩士論文，民國99年。
三、網頁
[1]Delphion 專利資料庫: http://www.delphion.com/
[2]ICAP Patent Brokerage:http://icappatentbrokerage.com/
[3]Ocean Tomo: http://www.oceantomo.com/
[4]PatentFreedom: https://www.PatentFreedom/
[5]United States Patent and Trademark Office (USPTO): http://www.uspto.gov/
[6]WEBPAT全球專利資料網: http://webpat.tw
[7]David：專利情報：專利流氓商業模式與鴻海、群創遭Mondis勒索觀察。2008年1月14日，取自 STPI 科技產業資訊室: http://cdnet.stpi.org.tw/techroom/pclass/2008/pclass_08_A007.htm
[8]王飛：專利拍賣﹕技術與市場“零距離”對接。2010年12月23日，取自科技日報: http://big5.gmw.cn/g2b/tech.gmw.cn/2010-12/23/content_1491328.htm
[9]葉鼎煜(資策會科技法律中心法律研究員)：新興IP交易市場初探。2008年6月，取自資策會科技法制專欄: http://stlc.iii.org.tw/docfile/7b7b2701-3437-449a-b6bb-1c1aa764c6a724821130crbq55iz0nla55jhns2p55.pdf
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| 指導教授 |
陳忠榮(Jong-rong Chen)
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審核日期 |
2012-7-18 |
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