20 Nov
2019

Who is leading the 5G patent race?

IPlytics GmbH - IP analytics

Co-published

5G will not only change the way that humans communicate, it will also change the way that everything communicates. The whole physical world (eg, vehicles, ships, buildings, meters, machines, factories, medical devices and other items) will be connected through electronics, software, sensors and the Cloud.

Patent owners for 2G, 3G and 4G have controlled how mobile technologies are used in the smartphone and computer industry over the past few years. Thus, 5G patent owners will likely become technology and market leaders. Any company that owns 5G SEPs may request royalties from an implementer – while this will which create a lucrative market for holders of the relevant patents, it could well be a legal risk for implementers as the royalty amount deemed ‘reasonable’ for 5G patents is impossible to predict.

The IPlytics Platform integrates data from worldwide patents, patent declarations, standards documents and contribution documents (Figure 1). The database allows us to identify patents declared to 5G standards. While patent declarations cannot be interpreted as legal evidence for actual essential patents, declaration information is the best source for understanding the potential 5G patent landscape.

Figure 1. Data integration of patents, declared SEPs, standards and contributions

In order to identify declared 5G patents, the standards and declaration databases from the IPlytics Platform were correlated. IPlytics used the classification of technical specifications in technology generations (ie, 2G, 3G, 4G and 5G), originating from the standards data provided by the consortium that develops the 5G standard, 3rd Generation Partnership Project (3GPP). This approach allows us to precisely define whether a patent declaration is 2G, 3G, 4G or 5G relevant, or relevant for combinations of multiple standards generations. The following analysis is based on patents declared essential to standards specifications, as well as project descriptions that relate to 5G. Utility models were not counted as they represent 0.08% of all 5G-relevant patent declarations only. Further, 5G declarations that have not yet been published (eg, US provisional applications) were not counted as they represent 0.9% of all 5G relevant patent declarations only. All 5G-relevant patent declarations were counted as to the relevant patent families using the INPADOC family definition. As of November 2019 75,654 5G patent declarations were identified, which resulted in 20,194 5G patent families, of which:

  • 98% are active and  at least one family member has an active status (it has not lapsed, been revoked or expired);
  • 78% have been filed in at least one of the following offices: the USPTO, EPO or through the Patent Cooperation Treaty (PCT) route;
  • 44% include at least one granted patent;
  • 24% have already been declared to preceding technology generations such as 2G, 3G or 4G; and
  • 98% relate to technical specification that are classified as district 5G specification (in comparison to the 2% that relate to technical specification relating to a combination of, for example, 5G/4G or 5G/3G).

Using IPlytics’s standards, patents and declaration database, Table 1 illustrates the top patent owners of declared 5G patent families. The Chinese company Huawei has the largest declared 5G portfolio, followed by the South Korean companies Samsung and LG and the Finnish company Nokia. Qualcomm and Intel are the largest US companies holding declared 5G patents; Sharp and NTT DOCOMO are the largest Japanese ones. The Chinese companies Vivo Mobile and Guangdong Oppo have newly entered the market. The second column shows the number of 5G families that have been filed internationally (USPTO, EPO or PCT). Here, Samsung has the largest international 5G portfolio followed by Huawei, LG, Nokia and Ericsson (column 2). When counting granted 5G patent families only, again Samsung owns the largest 5G portfolio, followed by LG, Nokia and Huawei. The Chinese companies ZTE (7,4%), China Academy of Telecommunications Technology (CATT) (11,7%), OPPO (9,5%) and Vivo (0%) have very low grant rates as of November 2019. However, the granting process may take several years; since 5G is a recent technology, 5G patents may be just recently filed. One can assume that many of the declared 5G patents will be granted at some point in the future.

Table 1: Top patent owner of 5G declarations as to the number of patent families as to office of application and grant status

Company nameDeclared 5G familiesFiled at USPTO, EPO or PCTGranted in one office
Huawei Technologies (CN)3,3252,3791,337
Samsung Electronics (KR)2,8462,5421,746
LG Electronics (KR)2,4632,2961,548
Nokia (including Alcatel-Lucent) (FI)2,3082,0981,683
ZTE Corporation (CN)2,2041,654596
Ericsson (SE)1,4231,295765
QUALCOMM (US)1,3301,121866
Intel Corporation (US)934885171
Sharp Corporation (JP)808677444
NTT Docomo (JP)754646351
CATT (CN)58836072
InterDigital Technology (US)428346226

Guangdong Oppo M Telecommunications (CN)

37836336
Vivo Mobile (CN)1931680
ASUSTeK Computer (TW)11710335
NEC Corporation (JP)11410284

Apple (US)

797352
KT Corporation (KR)755315
ETRI (KR)715020
Fujitsu (JP)681866
Mororola Mobility (US)565450
Lenovo Group Limited (CN)514819
HTC Corporation (TW)464440
MediaTek (TW)423830
WILUS Group (KR) 41202
Panasonic (JP) 33309
FG Innovation (CN) 33334
Sony Corporation (JP)221723
ITRI (TW)141312
SK Telecom (KR)1280
Spreadtrum Communications (CN)1186

IPlytics, November 2019

The first column of Table 2 counts 5G declared patent families with the earliest priority date after 2012. As to interviews with engineers from 3GPP, it is assumed that the main inventions for 5G technologies came up in the years following 2012. The counts of 5G declarations with a priority date after 2012 show a leading position for Huawei, followed by Samsung, LG and ZTE. Only 44% of all declared 5G patent families from Nokia have a priority date after 2012. Also, the 5G portfolios of Qualcomm (62%) and Ericsson (68%) show lower counts for 5G patent families with a priority date after 2012. In comparison, ZTE or CATT and Intel have declared 5G patents that have been mostly invented after 2012 (ie, within the time period that is considered the most likely to include new 5G inventions).

In addition, IPlytics identified declared 5G patent families where at least one patent has been already declared to previous standards generations such as 2G, 3G or 4G (column 2). 90% of Huawei, 99% of ZTE, 95% of Intel and 92% of Sharp’s 5G patent families have been solely declared to 5G. In comparison, Ericsson with a rate of 68%, Qualcomm’s 69% and Nokia’s 78% have declared many patents that were already declared to 3G or 4G years before 5G was developed.

Finally, IPlytics counted 5G patent families declared to standards specification originating from groups RAN1, RAN2, RAN4, SA2, SA3, SA4 and CT1 that work on user equipment, in comparison with groups that work on infrastructure technologies (eg, RAN3). Again, Huawei declared the largest UE relevant 5G portfolio and the order of rank looks very similar to the overall declared number of 5G patent families.

Table 2: Top patent owners of 5G declarations as to the number of patent families as to the earliest priority date, earlier 2G, 3G or 4G declaration and relevant groups working on user equipment technologies

Company nameWith a priority date after 2012Not declared to 2G 3G or 4GIn UE relevant groups
Huawei Technologies (CN)2,7903,0183,106
Samsung Electronics (KR)1,8932,0122,805
LG Electronics (KR)1,7292,0302,354
Nokia (including Alcatel-Lucent) (FI)1,0911,9021,995
ZTE Corporation (CN)1,8712,2022,140
Ericsson (SE)9269891,182
QUALCOMM (US)7908661,209
Intel Corporation (US)895904859
Sharp Corporation (JP)580756770
NTT Docomo (JP)561704679
CATT (CN)578582570
InterDigital Technology (US)234308336
Guangdong Oppo M Telecommunications (CN) 343378378
Vivo Mobile (CN)193193193
BlackBerry (CA)188935
ASUSTeK Computer (TW) 115117117
NEC Corporation (JP)649980
Apple (US)376340
KT Corporation (KR)747465
ETRI (KR)606860
Fujitsu (JP) 302750
Motorola Mobility (US)#NV263
Lenovo Group Limited (CN) 354049
HTC Corporation (TW)21306
MediaTek (TW)414229
WILUS Group (KR)414141
Panasonic (JP) 293130
FG Innovation (CN)313332
Sony Corporation (JP)3720
ITRI (TW)101412
SK Telecom (KR)121212
Spreadtrum Communications (CN)111111

IPlytics, November 2019

Beyond the patent declaration data analysis, it is also worth examining the companies that are actively involved in the 5G standards development. The 5G standard is specified in international meetings in which companies present and submit technical contributions. Using the database and analytics of the IPlytics tool, Table 3 shows the top 30 companies that submitted technical contributions to 5G. Again, Huawei is responsible for most 5G contributions, followed by Ericsson, Nokia, Qualcomm and ZTE.

In many cases, standards contributions are submitted by several companies. In general, there is a main company that is responsible for the contribution and other companies join later to submit it. The first column is a count of all the companies that have been in a group that submitted the standard contribution, while the second column counts contributions for the first contributor only.

A different way of counting contributions made by multiple companies is to calculate its share. For example, if there are four companies submitting a contribution together, each company will receive a pro rata value of 0.25. The third column represents the counts of proportionate standards contributions (ie, how many contributions the company made proportionately). After applying this weighting, Ericsson has submitted more pro rata standards contributions than Huawei for 5G, since Ericsson has made many standard contributions alone.

Table 3: Top companies submitting technical contributions for 5G standards

Contributing company5G contributionsFirst contributorWeightedIn UE relevant groupsApproved
Huawei Technologies (CN)19,47317,46611,99211,6625,855
Ericsson (SE)15,07213,19512,6908,9365,114
Nokia (including Alcatel-Lucent) (FI)11,5559,6335,3147,1953,804
QUALCOMM (US)5,9944,8464,6294,1601,994
ZTE Corporation (CN)4,6923,6283,4923,1171,188
Samsung Electronics (KR)4,5733,5413,4343,5391,239
Intel Corporation (US)3,6562,8952,7522,798962
LG Electronics (KR)2,5781,9661,8802,129685
China Mobile (CN)2,5671,7481,7371,437787
CATT (CN)2,5622,0502,0261,979554
NTT Docomo (JP)2,0421,4871,4591,491549
MediaTek (TW)1,6531,1761,2221,526443
Orange (FR)1,415977975647462
NEC Corporation (JP)1,2768709011,005347
Deutsche Telekom (DE)1,2635015961,016397
Lenovo Group Limited (CN)1,2619175661,014413
Motorola Mobility (US)1,247856580999406
AT&T Group (US)1,17471282928343
InterDigital Technology (US)1,1556016861,018317
Guangdong Oppo (CN)943682673908190
Telecom Italia (IT)801181249689225
KDDI (JP)760312289672186
Verizon (US)70015159530196
Vivo Mobile (CN)668534535665159
Cisco Systems (US)653466438357183
ETRI (KR)625357377505165
Vodafone (UK)612288332405206

IPlytics, November 2019

The fourth column of Table 3 only includes contributions submitted in the user equipment-relevant groups RAN1, RAN2, RAN4, SA2, SA3, SA4 and CT1.

Standards contributions must be accepted and approved within the groups in order to be included in the final specification. The fifth column counts standards contributions approved by 3GPP members only. Overall, about 10% of all contributions have been approved for 5G. Most of the approved contributions have been submitted by Huawei, closely followed by Ericsson and Nokia. Samsung overtakes ZTE for approved contributions.

Comment

5G SEP licensing looks set to become a major issue not only for the handset industry, but for any sector in which connectivity matters. Senior patent managers and patent directors should bear in mind some key considerations concerning 5G patents:

  • Future technologies that enable connectivity will increasingly rely on patented technology standards such 5G.
  • The number of 5G SEPs is constantly rising – patent directors should consider royalty costs and appropriate security payments in advance.
  • Patent directors should not only consider information retrieved from patent data, but also monitor and consider standardisation data such as technical contributions to understand the landscape of 5G patent owners.
  • Manufacturers should pursue a common strategy for patenting and standardisation to ensure that they are fully engaged in developing future connectivity technologies.

For further information contact:

Tim Pohlmann
IPlytics GmbH
View website

This is a co-published article whose content has not been commissioned or written by the IAM editorial team, but which has been proofed and edited to run in accordance with the IAM style guide.