摘 要
在商品交易市场中，有一些资产借助许多正在繁荣发展的中间机构进行交易，例如房产、金融产品、书籍和电子设备以及各种各样的有形物。但知识产权却有别于这些商品。知识产权市场一直被认为是经济交易活动中最为庞大的，然而其效率是最低的市场。知识产权市场高度的流动性原因显而易见：知识产权是无形的，难以对其价值进行精确地估量。此外知识产权市场中的交易双方（发明者、专利所有人以及经营公司或专利使用者、购买者）都需要承担昂贵的检索，人力、财力和时间成本，而且专利诉讼的风险使得所有潜在参与者都极为小心谨慎的从事商业活动。这样的环境下，催生了许多不同的专利商业化模式，包括专利经营模式、防卫专利集中模式和进攻专利集中模式，其中专利经营模式使得知识产权市场具有一定的活跃性；防卫专利集中模式提高了专利价值的透明度，有效的阻止了专利主张实体的诉讼主张；进攻专利集中模式与专利市场中创新的机制背道而驰，其从某种程度上阻碍了专利市场中参与者持续创新的积极性。
首先，本文通过对当下专利利用方式、专利环境的动态分析，得出专利价值评估的复杂性。专利价值的实现方式日益的多元化，为众多专利商业化模式的出现提供了基础条件。
其次，通过对不同的专利商业化模式分析，其利用专利和评估专利价值方式的不同，厘清了不同的专利商业化模式对专利制度、专利市场以及创新体系的影响。专利市场中的主要参与者可以分为买方、卖方与中间商。其中专利集中者，授权/诉讼公司（PAEs,或称为专利主张实体）属于买方；私人公司（策略性卖出非核心专利）、个人发明者，以及中间商（包括私人经纪人、公开拍卖、线上交易与直接面对面交易）属于卖方。它们以不同的方式利用专利的价值，在专利市场中扮演着不同的角色，起着不同的作用--主要包括：积极地阻止其他的公司复制、生产、销售或许诺销售其产品、方法；在遭遇专利诉讼时，提出申辩抗诉；企业自身创新文化的彰显；向潜在的投资者展示公司保护核心竞争力、创新资产的强大能力。
再次，专利商业化的行为模式，在国内外的发展程度。本文系统的分析了专利商业化的商业在美国目前的发展状况，以及现行抑制进攻专利集中模式的法案、案例的研究，具体分析进攻专利集中模式的行为模式；我国专利商业化的发展现状，以及提出在应对专利转移问题时，其对专利创新宗旨的影响，和可以借鉴的建议、方式。
最后，本文还提出我国在规范专利商业化模式时的政策建议。针对专利转让、专利许可和专利战略，提出我国专利法律体系中，应该予以增加、修改和完善之处，希望对我国专利商业化未来的发展，提供可借鉴之参考。
关键词：专利商业化，专利市场，专利价值，专利交易
Abstract
In the commodity market, there are many intermediaries traded assets withdifferent organizations are booming, such as real estate, financial products, booksand electronic equipment and a variety of physical objects. But intellectual propertyrights are different from these goods. Intellectual property market has long beenconsidered to be the largest one in the economic activity, but its efficiency is thelowest of all the market. Intellectual property market is highly liquid, the reason forthat is obvious: intellectual property is intangible, difficult to accurately measure itsvalue. Also both parties of intellectual property market （inventor, patent holders andrun a company or all users, buyers） need to afford expensive retrieval, human costand financial resources and time cost, and the risk of patent litigation makes allpotential participants are extremely cautious in commercial activities. Such anenvironment, has given rise to a number of different patent commercializationmodes, including the patent management pattern, defensive patent aggregationpatterns and offensive patent aggregation patterns. The patent management patternmakes the intellectual property market have a certain activity; Defense patentaggregation model improved the transparency of patent value, a claim is effective toprevent patent claims that the entity; Attack patents aggregation patterns and marketto create a new mechanism, it's to some extent hindered the enthusiasm of the patentmarket participants continuous innovation.
First of all, this paper via present different patent utilization ways, to dynamicanalysis of the environment of the patent, it is concluded that the complexity ofpatent value evaluation. Patent value realization increasingly diversified, provide thebasis for the emergence of numerous patent commercialization mode condition.
Second, by analyzing different patent commercialization modes, the use ofpatents and the different methods of assessment of patent value, to clarify thedifferent patent commercialization modes on the patent system and patent marketand the influence of innovation system. The main participants in the patent marketcan be divided into the buyer, the seller and middlemen. The patent aggregatorsauthorize/action （PAEs, or patent claims entities） belong to the buyer. Privatecompany strategic selling non-core （patent）， individual inventors, and middlemen,including private agent, public auction, online trading and direct face-to-facetransactions） belong to the seller. They use the value of patents in different ways, inthe patent market plays a different role, mainly including: actively to prevent othercompanies from copy, production, sales, or promise to sell its products, a method;when encountering patent litigation, defend protested. Manifest enterprise'sinnovation culture; Show to potential investors the protect capacity of the corecompetitiveness, the powerful ability of assets.
Again, commercial behavior patterns of patent, the degree of development athome and abroad. Patent system in this paper analyzes the commercial business inthe United States the present development status, as well as the current offensiveaggregation patterns of patent law, case studies, a concrete analysis attack patentsaggregation patterns of behavior patterns; Patent commercialization developmentpresent situation in our country, and put forward in dealing with the patent transferproblem, its influence on patent innovation, and the way of advice.
At last, this paper proposed some suggestions in dealing with standardize patentcommercialization mode. One is build a center database, improve the clarity ofpatent market; one is set up a specialized supervisory body （no matter profit ornon-profit）， monitor and patent trades; one is enhance the autonomy of market andindustry, via the natural selection of the market, decide who is the most efficientmiddleman.
Keywords: patent commercialization,patent market,patent value,patent trade
目 录
摘 要 ……I
ABSTRACT ……III
目 录 ……I
第 1 章 引言 ……1
1.1 研究背景与意义……1
1.2 国内外研究述评……3
1.3 研究思路与方法 ……4
1.4 重难点与创新点 ……5
第 2 章 专利商业化的基本论述 ……7
2.1 专利商业化演变发展 ……7
2.2 专利商业化的内涵特征 ……9
2.3 专利商业化的法律制度资源 ……10
第 3 章 专利商业化的类型 ……14
3.1 专利经纪类型 ……15
3.2 防卫专利集中类型 ……16
3.3 进攻专利集中类型 ……18
第 4 章 专利商业化国内外研究现状及启示 ……20
4.1 专利商业化的国外研究现状分析 ……20
4.2 专利商业化的国内研究现状分析 ……25
4.2.1 我国专利商业化总体现状分析 ……25
4.2.2 对我国专利商业化现状的条件分析 ……28
4.2.3 促进我国专利商业化健康发展的建议……31
4.3 专利商业化对专利制度的影响及启示 ……33
第 5 章 对专利商业化的政策法规建议 ……37
5.1 基于专利转让的法规建议 ……37
5.2 基于专利许可的法规建议 ……39
5.3 基于专利金融化战略的法规建议 ……40
第 6 章 结论与展望 ……43
6.1 研究的主要结论 ……43
6.2 研究不足与展望 ……44
致 谢 ……46
参考文献 ……47
