本實證研究探討參與 Ocean Tomo 舉辦專利現場拍賣的非實施專利 實體的訴訟行為。本文採用零值膨脹卜瓦松模型作為主要的實證模型,以 考量計數型應變數(專利涉及案件數) 為高比例零值的資料型態。迴歸結果 顯示專利品質與專利涉及案件數具有正向關係。再者,本文也發現訴訟案 件數越多的專利,其移轉次數也越多。最後,本文的實證結果提供重要結 論,非實施專利實體傾向取得具有品質的專利,並宣稱被告公司的產品侵 害到其專利權,進而對其提起專利侵權訴訟。

This paper is aimed to conduct an empirical analysis of the litigation behavior of non-practicing entities (NPEs) from patent auction hosted by Ocean Tomo. In order to consider the excess zeros of litigation cases of patents owned by NPEs, we adopt a zero-inflated poisson model to implement empirical estimations. The empirical results indicate that patent quality has positive effect on the number of patent litigation cases. We also find that litigated patents positively associated with the trading numbers of the patents. Finally, the empirical results of our paper support the crucial conclusion that NPEs tend to obtain patents with higher quality, and then file lawsuits against defendant companies by claiming that their products infringes on the patents of NPEs.

摘要 ............................................................................................................................................ I Abstract ....................................................................................................................................II 謝辭 ......................................................................................................................................... III 目錄 .............................................................................................................................................i 圖目錄 ........................................................................................................................................ii 表目錄 ........................................................................................................................................ii
一、緒論 ....................................................................................................................................1 1.1 研究背景與目的 ..................................................................................................................1 1.2 研究架構 ..............................................................................................................................6
二、文獻回顧 ............................................................................................................................ 8 2.1 非實施專利實體與專利訴訟相關實證文獻 ......................................................................8 2.2 專利特性相關文獻 ............................................................................................................13
三、資料來源及變數說明 ...................................................................................................... 19
3.1 研究對象與資料來源 .....................................................................................................19
3.2 變數說明 .........................................................................................................................22
四、研究方法 .......................................................................................................................... 29
五、實證結果 .......................................................................................................................... 33
5.1 迴歸係數解釋 ...................................................................................................................34
5.2 模型適用性 .......................................................................................................................37
六、結論 ..................................................................................................................................39
6.1 結論 ...................................................................................................................................39
6.2 研究限制與未來方向 .......................................................................................................41
參考文獻 ..................................................................................................................................43

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