1. AUTM U.S. Licens g Activity Survey
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HIGHLIGHTS
For two decades, the Association of University Technology
Managers (AUTM) has been the leader in soliciting, compiling
and publishing academic technology transfer data — making
the AUTM U. S. and Canadian Licensing Activity Surveys some
of the association’s most valuable resources.
The AUTM U.S. Licensing Activity Survey Highlights
offers a preview of the data found in the fiscal year
2011 (FY2011) report and provides a glimpse into the
current state of the field. The comprehensive AUTM
Licensing Activity Survey FY2011 will be published in
late 2012.
For more information about the FY2011 survey—
including sponsorship opportunities—and past
surveys, please visit the AUTM Website (www.autm.net)
www.autm.net

2. AUTM U.S. Licens g Activity Survey
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HIGHLIGHTS
Analysis of our FY2011 survey indicates that despite continuing difficult economic
conditions, university and research institute licensing and startup activity remained very
strong. The number of licenses and options executed showed healthy increases over
FY2010, as did the number of startups that remained active at the end of the fiscal year.
FY2011 also saw a modest increase in total research expenditures and another rise in
the number of issued patents on top of last year’s record numbers.
Products, Startups and Licenses/Options
The number of startups formed increased 3 percent and the number of total startups remaining
operational increased 7 percent. In addition, the number of licenses and options executed
increased 14 and 7 percent, respectively. There was a 24 percent increase in deals with established
small companies. The total number of active licenses and options through the close of 2011 was
essentially flat and the number of new commercial products created slipped 10 percent.
• 4,899 licenses executed (+14%)
• 1,152 options executed (+7%)
• 416 executed licenses containing equity (+5%)
• 38,600 active licenses and options (+0.3%)
• 671 startup companies formed (+3%), 487 of which had their primary
place of business in the licensing institution’s home state (-2%)
• 3,927 startups still operating as of the end of FY2011 (+7%)
• 591 new commercial products created (-10%)
Research Expenditures
Research expenditures continued to increase from 2010 levels.
• $61 billion total sponsored research expenditures (+4%)
• $40 billion in federally funded sponsored research expenditures (+3 %)
• $4 billion in industry-sponsored research expenditures (-6%)
www.autm.net

3. AUTM U.S. Licens g Activity Survey
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Intellectual Property Management
Patent/legal spending increased 2 percent and legal reimbursements were essentially flat after a
decline of 7 percent last year. There was a 5 percent increase in issued patents on top of the large
increase reported last year.
Disclosures
• 21,856 disclosures received (+6%)
Patent Filings and Patent/Legal Expenditures
• 19,905 total U.S. patent applications filed (+6 %)
• 13,271 new patent applications filed (+11%)
• 1,193 non-U.S. new patent applications filed (+22%)
• $330 million external legal fees paid (+2%)
• $155 million legal fees reimbursed (-0.8%)
Issued U.S. Patents
• 4,700 issued U.S. patents (+5.2%)
License Income
Running royalties (royalties earned on sale of products) increased 5 percent after a decrease of
15 percent last year and cashed-in equity increased 2 percent after an increase of 160* percent
the previous year. All other sources of income (e.g., license issue fees, payments under options,
termination payments, annual minimums not supported by product sales) were essentially flat
after increasing 25 percent last year. The increase in running royalty is significant because it is an
indication that university discoveries are making their way to the marketplace as new products.
• Total income: $2.5 billion (+2.6%)
• Running royalty: $1.5 billion (+5%)
• Cashed-in equity: $64.6 million (+2%)
• Other income: $449.6 million (-0.6%)
*This large increase in cashed-in equity can be attributed to four institutions: Albert Einstein College
of Medicine, California Institute of Technology, Cleveland Clinic and Duke University.
www.autm.net

4. AUTM U.S. Licens g Activity Survey
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New Survey Questions: Product Sales and Startup FTE
This year AUTM included additional questions to better ascertain the economic impact of
technology transfer. Some survey participants were unable to answer the new questions because
the information required wasn’t readily available. AUTM plans to build on these initial results and
provide a more detailed analysis in the coming years. Based on this initial test survey, $36 billion
of net product sales were generated last year as reported by 69 institutions. In addition, startup
companies started by 83 of the responding institutions employed 24,653 FTEs.
About the U.S. Survey
The 2011 survey was sent to 305 U.S. institutions (234 universities and colleges, 65 hospitals
and research institutions, two national laboratories, and four third-party technology investment
firms). Of these 305 U.S. institutions, 186 responded, for a response rate of 60 percent compared
to 183 respondents in 2010 at a rate of 60 percent. The respondents included 157 universities, 28
hospitals and research institutes, and one third-party technology investment firm.
About AUTM
The Association of University Technology Managers (AUTM) is a nonprofit organization with an
international membership of more than 3,000 technology managers and business executives.
AUTM members — managers of intellectual property, one of the most active growth sectors of
the global economy — come from more than 300 universities, research institutions and teaching
hospitals as well as numerous businesses and government organizations.
www.autm.net