MOTIVATION

1

OBJECTIVES AND PURPOSE OF THIS REPORT

1

SCOPE OF REPORT

2

CONTRIBUTION OF THE STUDY AND TARGET AUDIENCE

2

METHODOLOGY AND SOURCES OF INFORMATION

3

REPORTS

3

MONTHLY NEWSLETTER

4

DISCLAIMER

4

EXECUTIVE SUMMARY

5

SUMMARY TABLE GLOBAL MARKET FOR CNT GRADES BASED ON COMMITED PRODUCTION, THROUGH 2014 ($ MILLIONS)

6

SUMMARY FIGURE GLOBAL MARKET FOR CNT GRADES BASED ON COMMITTED PRODUCTION, 2009-2014 ($ MILLIONS)

6

WHAT ARE CNTS?

7

FIGURE 1 FORMATION OF A SWNT STRUCTURE

7

FIGURE 2 CNT STRUCTURES

8

A BRIEF HISTORY OF NANOTUBES

8

TABLE 1 CHRONOLOGY OF SOME CNT LANDMARK DEVELOPMENTS, 1953-2009

9

COMPARISON OF CARBON COMPOUNDS

10

TABLE 2 SOME COMPARATIVE PROPERTIES OF CARBON ALLOTROPES

10

DIAMOND

11

Diamondoids

11

Nanocrystalline Diamond and CNT Hybrid Films

12

GRAPHITE

13

FULLERENES

14

Spherical Form: Buckminsterfullerene

14

Cylindrical Form: CNTs

15

Hybrid Form: Carbon NanoBuds

15

Linear Form: Carbynes

16

CARBON NANOFIBERS

16

CARBON NANOSPHERES

17

CARBIDE-DERIVED MESOPOROUS CARBON

17

PROPERTIES OF CNTS

18

TABLE 3 SOME CHARACTERISTIC PROPERTIES OF CNTS

19

TABLE 4 COMPARATIVE PROPERTIES OF DIFFERENT CNTS AND CFS

20

APPLICATIONS OF CNTS

20

TABLE 5 DIVERSE RANGE OF INDUSTRIAL APPLICATIONS FOR CNTS

20

TABLE 6 SOME EXAMPLES OF OPTIMUM FORMS OF CNTS REQUIRED FOR DIFFERENT APPLICATIONS

21

OTHER TYPES OF NANOTUBE COMPOUNDS

21

SYNTHETIC INORGANIC NANOTUBES

21

TABLE 7 PROPERTIES AND APPLICATIONS OF SOME INORGANIC NANOTUBES

23

NATURAL INORGANIC NANOTUBES

24

ORGANIC NANOTUBES

25

NANOTUBE PRODUCTION

25

TABLE 8 COMPARISON OF THE MOST COMMON TYPES OF CNT BATCH PRODUCTION TECHNOLOGIES

26

ARC DISCHARGE

26

LASER ABLATION

27

CVD

27

SYNTHETIC PROCESSES FACTORS AFFECTING GROWTH

28

TABLE 9 SYNTHETIC PROCESS FACTORS AFFECTING CNT GROWTH

28

CONTINUOUS SCALABLE PRODUCTION

28

TABLE 10 COMPARATIVE ADVANTAGES AND DISADVANTAGES OF CNT PROCESSES

29

TABLE 11 COMPARISON OF SEVERAL SWNT CONTINUOUS PRODUCTION TECHNOLOGIES

30

CVD

30

Flame Combustion

31

Plasma Torch

32

Other Developments

35

Catalyst-Free SWNTs

35

Chiral-Specific Growth Catalysts

36

Nonmetallic Catalysts

37

Natural Lava Catalysts

37

Pulsed Laser Vaporization (PLV)

37

Purer and Controlled Diameter SWNTs

38

Varying Carbon Feedstock

38

PURIFICATION AND PRODUCT QUALITY CONTROL

39

TABLE 12 COMMON CNT CHEMICAL PURIFICATION PROCESSES, OUTCOMES AND DISADVANTAGES

40

TABLE 13 HISTORICAL DEVELOPMENT IN SEPARATION, PURIFICATION, CAPPING AND UNCAPPING OF CNTS BASED ON U.S. PATENTS

41

CNT APPLICATIONS INTEGRATION

42

TABLE 14 LEADING U.S. RESEARCH ORGANIZATIONS SPEARHEADING CNT SYNTHESIS AND APPLICATIONS DEVELOPMENT

42

SURFACE CHEMICAL FUNCTIONALIZATION

43

TABLE 15 RECENT DEVELOPMENTS IN CHEMICAL FUNCTIONALIZATION OF CNTS AND POSSIBLE APPLICATIONS

43

TABLE 16 EXEMPLARY U.S. PATENTS RELATING TO CNT CHEMICAL FUNCTIONALIZATION

44

TABLE 17 ORGANIZATIONS OFFERING SURFACE FUNCTIONALIZED CNT DISPERSIONS AND THEIR APPLICATIONS

45

SEPARATING ELECTRONIC STRUCTURES

45

TABLE 18 NOTABLE DEVELOPMENTS IN SORTING ELECTRONIC GRADE CNTS

46

CNT GROWTH AND DEVICE FABRICATION

47

TABLE 19 EXEMPLARY U.S. PATENTS RELATING TO SELF-ASSEMBLY AND ORGANIZATION OF CNTS

48

TABLE 20 SCALABLE DEVICE INTEGRATION OF CNTS

49

OTHER FORM FACTORS

50

TABLE 21 EXEMPLARY U.S. PATENTS RELATING TO THE USE OF CNTS AS NANOTEMPLATES

50

DWNTS AND BUCKYPAPER

50

FWNTS

51

SWNT-BASED PEAPODS OR NANO TEST TUBES

52

MWNT-BASED MICROCAPSULES

52

OTHER FORMS OF CNTS

53

TABLE 22 RECENT RESEARCH DEVELOPMENTS IN OTHER CNT VARIANTS

53

DRY SPINNING OF CNT FIBERS AND SHEET FORMING YARNS

53

WET SPINNING OF SWNTS

55

CONTINUOUSLY GROWN SWNT FIBERS

56

CONTINUOUSLY GROWN SWNT NONWOVEN TRANSPARENT FILMS

57

CNT REINFORCED POLYMER FIBERS

57

RATIONALE AND METHODOLOGY

59

U.S. PATENTS ISSUED

60

CHRONOLOGICAL GROWTH TRENDS IN PATENT ACTIVITY

60

FIGURE 3 CNT PATENTS ISSUED, 1994-2009 (CUMULATIVE TOTAL: 4,434)

60

PATENT ACTIVITY CLASSIFIED BY INDUSTRIAL APPLICATION SECTOR

61

FIGURE 4 BREAKDOWN OF THE MAIN INDUSTRY/APPLICATION SECTORS DERIVED FROM U.S. CNT ISSUED PATENTS, 1994–2004 (%)

62

TABLE 23 INDUSTRIAL SECTORS AND EXEMPLARY APPLICATIONS EMERGING FROM ISSUED U.S. CNT PATENTS, 1994–2009

63

FIGURE 5 BREAKDOWN OF THE MAIN INDUSTRY/APPLICATION SECTORS FROM U.S. CNT ISSUED PATENTS, 2007-JUNE 30, 2009 (%)

64

FIGURE 6 NUMBER OF U.S. AND FOREIGN CNT PATENTS ISSUED, CLASSIFIED ACCORDING TO INDUSTRIAL/APPLICATIONS SECTORS, 1994-2002 (NUMBER)

65

FIGURE 7 NUMBER OF U.S. AND FOREIGN CNT PATENTS ISSUED, CLASSIFIED ACCORDING TO INDUSTRY/APPLICATION SECTOR, 2003 AND 2004 (NUMBER)

66

FIGURE 8 NUMBER OF U.S. AND FOREIGN CNT PATENTS ISSUED, CLASSIFIED ACCORDING TO INDUSTRIAL/APPLICATION SECTOR, 2007 TO JUN 30, 2009 (NUMBER)

68

Comparison of U.S. Patent Activity with Asian, European, and Other Countries

68

FIGURE 9 U.S. VERSUS ASIAN CNT PATENTS ISSUED, 1994–2004 (NUMBER)

69

FIGURE 10 EUROPEAN AND OTHER COUNTRIES WITH U.S. CNT ISSUED PATENTS, 1994–2004 (NUMBER)

70

FIGURE 11 U.S. CNT PATENTS ISSUED: ASIA, 2007-JUNE 30, 2009 (NUMBER)

71

FIGURE 12 U.S. CNT PATENTS ISSUED: EUROPEAN AND OTHER COUNTRIES, 2007-JUNE 30, 2009 (NUMBER)

72

Domestic Patent Activity

72

FIGURE 13 LEADING U.S. STATES WITH U.S. CNT ISSUED PATENTS, 2007-JUNE 30, 2009 (NUMBER)

73

Small Businesses

74

TABLE 24 LEADING SMALL U.S. BUSINESSES WITH CNT ISSUED AND PENDING PATENT APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

74

TABLE 25 OTHER SMALL U.S. BUSINESSES WITH MULTIPLE CNT ISSUED AND PENDING PATENT APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

75

Large Businesses

76

TABLE 26 LEADING LARGE U.S. BUSINESSES WITH CNT ISSUED AND PENDING PATENT APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

77

TABLE 27 OTHER LARGE U.S. BUSINESSES WITH MULTIPLE CNT ISSUED AND PENDING PATENT APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

77

Academic Institutions

78

TABLE 28 CNT ISSUED AND PENDING PATENT APPLICATIONS AMONG LEADING U.S. ACADEMIC INSTITUTIONS, 2007-JUNE 30, 2009 (NUMBER)

79

Government and Other Not-for-Profit Institutions

80

TABLE 29 U.S. GOVERNMENT AND OTHER INSTITUTIONS WITH CNT ISSUED AND PENDING PATENT APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

80

U.S. Patent Activity According to Foreign Ownership

80

Leading Japanese Companies

80

TABLE 30 CNT ISSUED AND PENDING PATENT APPLICATIONS FOR LEADING JAPANESE ORGANIZATIONS, 2007-JUNE 30, 2009 (NUMBER)

81

Leading Korean and Taiwanese Organizations

81

TABLE 31 U.S. CNT ISSUED AND PENDING PATENT APPLICATIONS FOR LEADING KOREAN AND TAIWANESE ORGANIZATIONS, 2007-JUNE 30, 2009 (NUMBER)

82

Leading Organizations in European and Other Countries

82

TABLE 32 CNT ISSUED AND PENDING PATENTS FOR LEADING ORGANIZATIONS IN EUROPE AND OTHER COUNTRIES, 2007-JUNE 30, 2009 (NUMBER)

82

U.S. PATENTS PENDING

83

FIGURE 14 GROWTH AND BACKLOG IN U.S. PATENTS FILED 2001-JUNE 30, 2009 (NUMBER)

84

CHALLENGES IN PATENTING NANOTECHNOLOGY

84

PATENT BACKLOG

84

WHO OWNS WHAT?

85

QUALITY VERSUS QUANTITY

86

A NEW BREED OF PATENT BROKERAGE COMPANIES

86

PATENT TROLL

86

OVERVIEW

87

INDUSTRY STRUCTURE

87

NANOTUBE PRODUCERS

88

TABLE 32 INFLUENTIAL PLAYERS INVOLVED IN LARGE-SCALE CNT PRODUCTION AND MARKET EXPLOITATION

88

TABLE 33 INFLUENTIAL PLAYERS INVOLVED IN SMALL-SCALE CNT PRODUCTION AND/OR SPECIALIZED MARKET EXPLOITATION

89

MARKET SEGMENTATION

90

TABLE 34 MARKET SEGMENTATION OF CNT INDUSTRY

91

COMPANY PROFILES: CNT PRODUCERS

91

Arkema

91

Bayer MaterialScience AG

93

TABLE 35 RECENT DEVELOPMENTS IN COMMERCIALIZING BAYER MATERIALSCIENCE MWNTS

94

Canatu, Ltd.

95

Catalytic Materials, LLC/Catalyx Nanotech

96

CNano Technology, Ltd.

97

Fullerene International Corp.

99

Hanwha Nanotech Corp.

99

Hodogaya Chemical Co. Ltd./Mitsui & Co.

100

Hyperion Catalysis Int’l Inc.

101

MER Corp.

103

Nanocyl S.A.

104

NanoIntegris, Inc.

105

Nanoledge, Inc.

105

Nanotailor, Inc.

107

Nanothinx S.A.

108

Raymor Industries, Inc.

109

Selah Technologies, LLC

110

Shenzhen Nanotech Port Co., Ltd.

111

Showa Denko KK

111

SWeNT

112

Thomas Swan & Co., Ltd.

114

Unidym, Inc.

115

Xintek, Inc.

118

COMPANY PROFILES: CNT SPECIALTY AND ANCILLARY PRODUCTS

119

Applied Nanotech Holdings, Inc.

119

Brewer Science, Inc.

120

Carbon Solutions, Inc.

121

Eikos, Inc.

121

First Nano, Inc.

122

Nanomix, Inc.

123

NanoComposites, Inc.

124

Nanocomp Technologies, Inc.

125

Q-Flo, Ltd.

126

Zyvex Corp./Zyvex Performance Materials

127

TABLE 36 ZYVEX PERFORMANCE MATERIALS COMMERCIAL DEVELOPMENTS IN CNT POLYMER COMPOSITES, 2007–2009

129

COMPANY PROFILES: LARGE U.S. CORPORATIONS

129

TABLE 37 LARGE U.S. CORPORATIONS LEADING IN U.S. CNT PATENT ACTIVITY* (NUMBER)

130

DuPont Co.

131

General Electric Co.

131

Hewlett Packard Co.

132

Honeywell Int’l Inc.

132

Intel Corp.

132

IBM

133

Motorola, Inc.

133

Xerox Corp.

135

COMPANY PROFILES: LARGE FOREIGN CORPORATIONS

135

CHALLENGES AND ISSUES FACING THE CNT INDUSTRY

135

Industry Driving Forces

135

TABLE 38 EXEMPLARY COMPANIES LEADING THE CNT INDUSTRY EVOLUTION

136

Nanotube Consumers and the Evolving Grade Structure

136

TABLE 39 DIVERSITY IN CNT CONSUMER MARKET PRODUCTS

136

Cost/Performance Balance

137

Competition

137

TABLE 40 COMPETITIVE MATERIAL ALTERNATIVES TO CNTS FOR CERTAIN APPLICATIONS

138

Toxicity

138

TABLE 41 PROGRESS IN IDENTIFYING AND RESOLVING CNT TOXICOLOGICAL BEHAVIOR, 2005-2007

139

TABLE 42 PROGRESS IN IDENTIFYING AND RESOLVING CNT TOXICOLOGICAL BEHAVIOR, 2008-SEPTEMBER 2009

141

Environmental Safety

141

NANOTECHNOLOGY RISKS AND REGULATORY CONTROL

143

Asian Initiatives

143

Canadian Government

144

European Commission

144

International Organization for Standardization (ISO)

145

U.S. Led Nanotechnology Regulatory Control Initiatives

146

CBEN at Rice University

147

City of Berkeley, CA, Nanomaterials Ordinance

147

EPA

148

Nanoethics and Social Advocacy Groups

148

Woodrow Wilson International Center for Scholars

149

COMPOSITES

151

TABLE 43 MECHANICAL PROPERTIES OF CNTS COMPARED WITH OTHER FIBERS

152

TABLE 44 CNT COMPOSITES: RANGE OF POSSIBLE APPLICATIONS

152

TABLE 45 CNT COMPOSITES: PROPERTIES ENDOWED

153

TABLE 46 MECHANICAL PROPERTY ENHANCEMENTS IN VARIOUS CNT COMPOSITES

153

CEMENT MATRIX

154

CERAMIC MATRIX

155

TABLE 47 ENHANCEMENTS CLAIMED IN VARIOUS CNT CERAMIC SYSTEMS

156

DIAMOND COMPOSITES

160

GLASS MATRIX

160

METAL MATRIX

161

TABLE 48 SOME EXAMPLES OF CNT-METAL COMPOSITES

162

POLYMER MATRIX

163

TABLE 49 EXAMPLES OF CNT-POLYMER COMPOSITE MATRIX SYSTEMS AMENABLE TO COMMERCIAL PROCESSING AND APPLICATION

164

TABLE 50 SOME EXAMPLES OF CNT-POLYMER COMPOSITES

165

TABLE 51 VARIOUS PROCESSING STRATEGIES USED TO MANUFACTURE POLYMER-CNT COMPOSITES

166

Electrical Conductivity Properties of Polymer-CNT Composites

166

Mechanical Properties of Polymer-CNT Composites

167

TABLE 52 ULTIMATE MECHANICAL PROPERTIES OF CNT FIBERS AND EXAMPLES OF THEIR ENHANCEMENT IN VARIOUS POLYMER COMPOSITE SYSTEMS

167

TABLE 53 KEY PROPERTIES CONTROLLING ULTIMATE REINFORCING AND CONDUCTIVITY POTENTIAL OF SWNTS IN A POLYMER MATRIX

168

Thermal Conductivity Properties of Polymer-CNT Composites

168

Commercial Product Applications of Polymer-CNT Composites

169

TABLE 54 POLYMER COMPOSITE CNT PRODUCTS CURRENTLY MANUFACTURED OR UNDER COMMERCIAL DEVELOPMENT

169

TABLE 55 LEADING COMPANIES INVOLVED IN THE COMMERCIAL DEVELOPMENT OF CNT-POLYMER COMPOSITES

170

TABLE 56 MOST ACTIVE COMPANIES ACCORDING TO CNT-POLYMER COMPOSITE U.S. PATENTS, 2007-JUNE 30, 2009 (NUMBER)

172

TABLE 57 OTHER ACTIVE ORGANIZATIONS ACCORDING TO U.S. CNT-POLYMER COMPOSITE PATENTS, 2007-JUNE 30, 2009

173

Automotive Applications

173

TABLE 58 EXAMPLES OF READY-TO-MOLD HYPERION AUTOMOTIVE MWNT-RESIN COMPOUNDS

173

TABLE 59 COMPARATIVE PERFORMANCE FOR HYPERION CONDUCTIVE AUTOMOTIVE MWNT-RESIN COMPOUNDS

174

TABLE 60 ADVANTAGES OF MWNTS COMPARED WITH CONVENTIONAL CONDUCTIVE FILLERS USED IN MOLDED AUTOMOTIVE PLASTICS

175

TABLE 61 CLASSIFICATION OF CONDUCTIVE MOLDED PLASTICS ACCORDING TO FILLER LOADING AND ELECTRICAL PROPERTIES

176

TABLE 62 VARIOUS APPLICATIONS OF MWNTS IN ELECTROSTATICALLY DISSIPATIVE PLASTIC AUTO COMPONENTS

176

TABLE 63 ADVANCES IN IMPROVING THE STRENGTH AND CONDUCTIVITY OF POLYMER-CNT COMPOSITES, 2007–2009

180

Aeronautical Applications

180

TABLE 64 RECENT DEVELOPMENTS IN THE AEROSPACE CF COMPOSITES INDUSTRY

183

Electronic Applications

184

TABLE 65 VARIOUS ELECTRONIC APPLICATIONS OF MWNTS IN MOLDED PLASTIC ELECTRONIC COMPONENTS

184

Flame Retardant Applications

185

Space Applications

186

TABLE 66 FUTURE SPACE APPLICATIONS FOR CNTS

187

Sporting Goods Applications

187

TABLE 67 SPORTING GOODS PROTOTYPES BASED ON MWNT-PLASTIC COMPOSITES

188

Other Applications and Important Property Considerations

188

Biocatalytic Films

188

Biomedical Composites

189

Conventional Adhesives

190

Dry Adhesives

191

TABLE 68 RECENT PATENT ACTIVITY IN CNT DRY ADHESIVE SYSTEMS*

191

Polymer Composite Coatings and Inks

192

TABLE 69 ORGANIZATIONS EXPLORING CNT-BASED INKS AND SMART COATINGS

192

TABLE 70 COMPARATIVE PROPERTY PERFORMANCE OF CONDUCTIVE TRANSPARENT COMPOSITE COATINGS

193

Sensor Networks for Ongoing Composite Structural Diagnostics and Repair

198

Surface Chemical Functionalization and Form Factor

199

ELECTRONIC APPLICATIONS

199

TABLE 71 U.S. ORGANIZATIONS LEADING THE ELECTRONICS SECTOR WITH CNT PATENTS, 2007-JUNE 30, 2009 (NUMBER)

200

TABLE 72 LEADING ASIAN AND EUROPEAN ORGANIZATIONS HOLDING ELECTRONICS CNT PATENTS, 2007-JUNE 30, 2009 (NUMBER)

201

ELECTRONIC COMPONENTS

202

Emergence of Nanoelectronics

202

TABLE 73 KEY CNT PROPERTIES ATTRACTING FUTURE ELECTRONIC APPLICATIONS

204

CNT Electronic Components Development

205

Synthesis and Characterization of Electronic-Grade SWNTs

206

Electronic Device Integration and Self-Assembly

210

Competition—Silicon Nanowires

212

Connectivity and Large-Scale Integration

213

Thermal Management (Solid-Based)

216

TABLE 74 ORGANIZATIONS INVOLVED IN CNT ELECTRONIC THERMAL MANAGEMENT APPLICATIONS

217

California Institute of Technology

217

CAT Science/University of Copenhagen (Denmark)

218

Fujitsu, Ltd. (Japan)

218

IBM (Yorktown Heights, NY)

218

Koila, Inc. (Sunnyvale, CA)

218

LG Electronics (Korea)

219

Molecular Nanosystems, Inc. (Palo Alto, CA)

219

Nanoconduction, Inc. (Sunnyvale, CA)/NASA Ames Research Center

219

National Renewable Energy Laboratory (Golden, CO)

220

Nextreme Thermal Solutions (Research Triangle Park, NC)

220

OCZ Technology (Sunnyvale, CA)

220

Purdue University

220

Rensselaer Polytechnic Institute

221

University of California, Berkeley

221

University of Colorado

221

Thermal Management (Liquid-Based)

221

Cooligy, Inc. (Mountain View, CA)

222

Seoul National University, Korea

222

University of Leeds/Institute of Particle Science and Engineering, U.K.

222

Beyond the CMOSFET Paradigm

223

Current Industry FET Development

223

TABLE 75 LEADING COMPANIES WITH CNTFET PATENT INTEREST

224

GE Global Research Center

224

IBM Optoelectronic Applications

225

Infineon Technologies, Germany

226

Development of Other CNT Nanoelectronic Components

226

FE DISPLAYS AND RELATED DEVICES

227

What is FE?

227

Why CNTs are Attractive Material Candidates?

227

TABLE 76 ADVANTAGES OF CNTS AS A COLD FE CATHODE

228

FE Applications

228

FE Displays

229

Fabrication

229

How CNT-FEDs Compare with Other Display Technologies

230

TABLE 77 ADVANTAGES OF FE DISPLAYS OVER LCDS

231

Major Factors Dictating CNT-FED Development

231

TABLE 78 MAJOR FACTORS DICTATING EMERGENCE OF CNT-BASED TECHNOLOGY IN FPD MARKETPLACE

231

Leading Organizations Involved in FED Development

232

TABLE 79 LEADING U.S. ORGANIZATIONS INVOLVED IN U.S. CNT-FED/FED PATENT ACTIVITY, 2007-JUNE 30, 2009 (NUMBER)

232

TABLE 80 LEADING FOREIGN COUNTRIES INVOLVED IN U.S. CNT-FED/FED PATENT ACTIVITY, 2007-JUNE 30, 2009 (NUMBER)

232

TABLE 81 MAJOR PLAYERS AND ANCILLIARY GROUPS/COMPANIES INVOLVED IN CNT-FED DEVELOPMENT

233

TABLE 82 ORGANIZATIONS ACTIVELY INVOLVED IN CNT-FED PROTOTYPES, 2000-2009

234

Canon KK (Japan)

234

cDream Corp. (San Jose, CA)

235

CEA/LETI (France)

236

CopyTele, Inc. (Melville, NY)

237

Futaba Corp. (Japan)

239

Japan, Inc.

239

Motorola Laboratories (Tempe, AZ)

240

TABLE 83 ADVANTAGES AND CHALLENGES OF MOTOROLA’S CNT-BASED FED COMPARED WITH EXISTENT FPD TECHNOLOGIES

241

Nano-Proprietary/Applied Nanotech, Inc. (Austin, TX)

241

Noritake Itron Corp./Ise Electronics (Japan)

244

Printable Field Emitters, Ltd. (U.K.)

244

Samsung (Korea)

245

Taiwan, Inc.

246

OTHER FED APPLICATIONS

248

TABLE 84 EXAMPLES OF OTHER FED APPLICATIONS

248

Light Bulbs and Light Sources

249

TABLE 85 ADVANTAGES OF FE-CNT FLUORESCENT WHITE LIGHT SOURCE OVER CONVENTIONAL LAMPS

251

TABLE 86 RATIONALIZING CNT SYNTHESIS WITH END-USE FE PERFORMANCE REQUIREMENTS

251

Applications of CNT-Based FE Light Sources

251

TABLE 87 ORGANIZATIONS WITH U.S. PATENT ACTIVITY RELATING TO CNT-BASED FE LIGHT SOURCES (NUMBER)

252

Advance Nanotech, Inc./University of Bristol

252

Ahwahnee Technology (San Jose, CA)

253

Delta Optoelectronics, Inc. (Taiwan)

253

Dialight Japan Co., Ltd.

254

EPFL/NanoLight Int’l, Ltd. (Switzerland)

255

Electrovac AG (Austria)

255

Foxconn/Hon Hai Precision Industry Co., Ltd. (Taiwan)

255

Hanwha Chemical Co./Iljin Nanotech (Korea)

256

IBM/Thomas J. Watson Research Center

257

KAIST

257

Nanoexa (Burlingame, CA)

258

Nano-Proprietary/Advanced Nanotech Holdings, Inc. (Austin, TX)

258

Samsung Electronics Co., Ltd. (Korea)

259

Taitung University, Taiwan

259

University of Surrey/Advanced Technology Institute (U.K.)

260

FLEXIBLE DISPLAYS AND ELECTRONICS

261

Advance Nanotech, Inc. (New York, NY)/Cambridge University, (U.K.)

261

TABLE 88 LEADING ORGANIZATIONS INVOLVED IN THE APPLICATION OF CNTS IN FLEXIBLE ELECTRONICS AND DISPLAYS

262

Advanced Technology Institute/University of Surrey/Surrey Nanosystems, Ltd.

263

Arrowhead Research (Pasadena, CA)

264

DuPont Electronic Technologies (Hayward, CA)

264

Eikos, Inc. (Franklin, MA)

266

NanoIntegris, Inc. (Skokie, IL)

266

NEC Corp. (Tokyo, Japan)

266

Rennselaer Polytechnic Institute

267

Unidym, Inc. (Menlo Park, CA)

267

University of Illinois/Semprius, Inc. (Durham, NC)

269

MEMORY APPLICATIONS

269

TABLE 89 ATTRACTIVE PROPERTIES OF CNTS FOR MEMORY APPLICATIONS

270

TABLE 90 LEADING PLAYERS IN CNT-MEMORY INITIATIVES BASED ON U.S. PATENTS, 1997-JULY 25, 2006 (NUMBER)

272

Nantero, Inc. (Woburn, MA)

273

ENERGY CONVERSION AND STORAGE

275

BATTERIES

276

Lead-Acid Batteries

276

Lithium-Ion Batteries

276

Lithium Polymer Batteries

278

CNT Commercial Battery Developments

279

TABLE 91 LEADING PLAYERS IN CNT-BASED BATTERY TECHNOLOGY ACCORDING TO U.S. PATENT ACTIVITY, 2007-JUNE 30, 2009 (NUMBER)

279

Micro Bubble Technologies, Inc. (South Korea)/Next Alternative, Inc. (Canada)

280

FUEL CELLS

281

TABLE 92 CNTS ENDEARING PROPERTIES USED IN FUEL CELL APPLICATIONS

282

Hydrogen Fuel Cells

282

TABLE 93 KEY PROPERTIES AFFECTING FUEL CELL PERFORMANCE

283

DMFC

283

Substitution of CNTs in MEA Materials

284

CNTs Used in Hydrogen and DMFCs

285

Optimizing Catalyst Loading and Retention

285

CNT-Based MEAs

286

Critical Fuel Cell Components

286

GDLs

286

Surface Wettability

287

Early Commercial Applications and Development of Fuel Cells

288

TABLE 94 LEADING ORGANIZATIONS PATENTING U.S. CNT FUEL CELL ENHANCEMENTS, 2002-DECEMBER 30, 2006

289

More Recent Patent Activity and Commercial Developments

289

TABLE 95 PATENT ACTIVITY IN U.S. CNT-BASED FUEL CELL APPLICATIONS AMONG U.S. ORGANIZATIONS, 2007-JUNE 30, 2009 (NUMBER)

290

TABLE 96 PATENT ACTIVITY IN U.S. CNT-BASED FUEL CELL APPLICATIONS AMONG FOREIGN ORGANIZATIONS, 2007-JUNE 30, 2009 (NUMBER)

290

Intematix Corp. (Fremont, CA)

291

Japan, Inc.

292

Motorola, Inc. (Tempe, AZ)

292

MTI MicroFuel Cells, Inc. (Albany, NY)

294

Neah Power Systems, Inc. (Bothel, WA)

295

Pacific Fuel Cell Corp. (Riverside, CA)

295

Show Denko KK (Japan)

295

UltraCell Corp. (Livermore, CA)

296

HYDROGEN STORAGE

297

Carbon Nanostructures

298

Underlying System Properties

299

Commercial Development and Patent Activity

300

TABLE 97 PATENT ACTIVITY IN U.S. CNT-BASED HYDROGEN STORAGE APPLICATIONS, 1997-APRIL 2006 (NUMBER)

301

TABLE 98 PATENT ACTIVITY IN U.S. CNT-BASED HYDROGEN STORAGE APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

301

Nanomix, Inc.

302

Motorola, Inc.

303

Sony Corporation

303

CAPACITORS

303

Basic Characteristics

303

TABLE 99 PERFORMANCE COMPARISON OF ENERGY STORAGE DEVICES

304

TABLE 100 ADVANTAGES OF SUPERCAPACITOR ELECTRICAL STORAGE DEVICES COMPARED WITH BATTERIES

305

TABLE 101 COMPARATIVE PERFORMANCE OF BATTERIES VERSUS CAPACITORS

305

EDLC

305

Research Activities in CNT-Based EDLCs

307

Georgia Institute of Technology Textile and Fiber Engineering

307

INRS (Quebec, Canada)

307

MIT Laboratory for Electromagnetic and Electronic Systems (LEES)

308

NASA Johnson Space Center

309

National Institute of AIST (Japan)

309

Stanford University/UCLA

309

University of California, Davis

310

University of Cambridge/Department of Engineering (U.K.)

311

University of Southern California (USC)

312

University of Texas at Austin

312

University of Texas at Dallas/NanoTech Institute

312

Early Patent Activity and Commercial Development in CNT-Based EDLCs

313

GSI Creos Corp., Asahi Glass, and TDK (Japan)

313

TABLE 102 U.S. PATENT ACTIVITY IN U.S. CNT-BASED EDL CAPACITORS AND APPLICATIONS, 1997-DECEMBER 30, 2006 (NUMBER)

314

Hyperion Catalysis Int’l

314

Iljin Nanotech (Korea)

314

Recent Patent Activity and Commercial Development in CNT-Based EDLCs

315

TABLE 103 LEADING ORGANIZATIONS INVOLVED IN U.S. CNT-BASED EDL CAPACITOR PATENT ACTIVITY, 2007-JUNE 30, 2009 (NUMBER)

315

Arrowhead Research Corp./Agonn Systems, Inc. (Pasadena, CA)

315

Kemet Corp. (Greenville, SC)

316

Nisshinbo Holdings, Inc. (Tokyo, Japan)

316

Honda Motor Co., Ltd. (Tokyo, Japan)

317

SOLAR/PV CELLS

317

Basic Characteristics

317

Academic Research

319

TABLE 104 ACADEMIC RESEARCH ACTIVITIES IN CNT-BASED SOLAR CELLS

319

Commercial Development

320

TABLE 105 CNT PATENT ACTIVITY IN SOLAR CELL APPLICATIONS, 1997-DECEMBER 30, 2006 (NUMBER)

321

TABLE 106 PATENT ACTIVITY IN CNT-BASED SOLAR CELL APPLICATIONS, 2007-JUNE 30, 2009 (NUMBER)

321

Ambit Corp. (Ashland, MA)

322

Arrowhead Research Corp./Nanopolaris (Pasadena, CA)

322

BP Solar North America (Frederick, MA)

323

DuPont (Wilmington, DE)

324

Dow Corning Corp. (Midland, MI)

324

Eikos, Inc. (Franklin, MA)

325

First Solar, LLC (Phoenix, AZ)

326

HelioVolt Corp. (Austin, TX)

326

Innovalight, Inc. (Manhasset, NY)

327

Konarka Technologies (Lowell, MA)

327

Miasolé (San Jose, CA)

328

Nanosolar, Inc. (Palo Alto, CA)

328

Plextronics, Inc. (Pittsburg, PA)

329

Wakonda Technologies, Inc./RIT

330

OTHER ENERGY CONVERSION SYSTEMS

330

TABLE 107 PATENT ACTIVITY IN U.S. CNT-BASED APPLICATIONS USED IN OTHER ENERGY CONVERSION SYSTEMS, 2007-JUNE 30, 2009 (NUMBER)

330

Mechanical Energy Storage

331

Thermionic Power

331

Thermal Rectifiers

332

MEMBRANES: FILTRATION AND SEPARATION MEDIA

333

TABLE 108 ATTRACTIVE PROPERTIES OF CNTS AS SEPARATION MEMBRANES

334

DEVELOPMENTS AND APPLICATIONS

334

TABLE 109 ORGANIZATIONS WITH U.S. PATENT ACTIVITY IN CNT MEMBRANES, FILTRATION AND SEPARATION MEDIA, 2007-JUNE 30, 2009 (NUMBER)

334

TABLE 110 RESEARCH AND COMMERCIAL PROTOTYPE DEVELOPMENTS OF VARIOUS CNT-BASED MEMBRANE SEPARATION TECHNOLOGIES

335

Biosource, Inc./Voltea, Ltd. (London, U.K.)

336

Clemson University

336

Cnanoz, Inc (Research Triangle Park, NC)

337

Covalent Industrial Technologies, LLC (Hayward, CA)

337

LLNL

338

Philip Morris USA Research Center

340

Procter & Gamble Co.

341

Rensselaer Polytechnic Institute

341

Seldon Laboratories, LLC

342

University of Kentucky, Center for Applied Energy Research

343

Velocys, Inc. (Plain City, OH)/Oxford Catalysts Group plc (Oxford, U.K.)

343

SENSORS

344

TYPES OF SENSORS

344

TABLE 111 TYPES OF CNT SENSORS

345

Biosensors

345

TABLE 112 TYPES OF CNT BIOSENSOR SYSTEMS

345

Chemical Sensors

346

TABLE 113 KEY PROPERTIES OF CNTS EXPLOITED IN SENSOR APPLICATIONS

347

Physical Sensors and Actuators

348

RECENT PATENT ACTIVITY IN SENSORS

349

TABLE 114 LEADING ORGANIZATIONS INVOLVED IN U.S. CNT-SENSOR PATENT ACTIVITY, 2007-JUNE 30, 2009 (NUMBER)

349

COMMERCIAL PROTOTYPE DEVELOPMENTS

350

Applied Nanotech Holdings, Inc. (Austin, TX)

350

Gated Metal Oxide Sensor

350

Palladium Nanoparticle Hydrogen Sensor

350

Photoacoustic Sensor (PAS)

351

Other Recent Sensor and Detector-Related Developments

351

Honeywell Int’l, Inc. (Morristown, NJ)

352

Motorola Laboratories (Tempe, AZ)

352

Nanomix, Inc. (Emeryville, CA)

353

Nanosensors, Inc.(Santa Clara, CA)

354

Pacific Northwest National Laboratory, Richland, WA

355

YTC America, Inc. (Camarillo, CA)

357

OTHER APPLICATIONS

357

BIOSENSORS

357

Alpha Szenszor, Inc. (Worcester, MA)

358

Applied Nanotech Holdings, Inc. (Austin, TX)

358

Nanomix, Inc. (Emeryville, CA)/MysticMD, Inc. (Groton, CT)

359

BIOMEDICAL DEVELOPMENTS

359

TABLE 115 POTENTIAL USES OF CNTS IN THE BIOMEDICAL AREA

359

TABLE 116 RESEARCH DEVELOPMENTS IN CNT BIOMEDICAL APPLICATIONS, PRIOR TO 2007

360

TABLE 117 RESEARCH DEVELOPMENTS IN CNT BIOMEDICAL APPLICATIONS, 2007-2009

361

Potential Commercial CNT Biomedical Developments

362

Chromoz, Inc. (Research Triangle Park, NC)

362

Intel Corp. (Santa Clara, CA)

363

XinRay Systems, LLC (Research Triangle Park, NC)

363

CATALYST SUPPORTS

364

Industrial Chemical Process Synthesis

364

TABLE 118 U.S. PATENT ACTIVITY LEADERS IN CNT CATALYST SUPPORTS, 2007-SEPTEMBER 30, 2009 (NUMBER)

365

BTU Int’l, Inc. (North Billerica, MA)

366

Headwaters Technology Innovation, Inc. (Lawrenceville, NJ)

366

Hyperion Catalysis Int’l, Inc. (Cambridge, MA)

366

Electrocatalysis

366

Photocatalytic Support Systems

367

TABLE 119 APPLICATIONS OF CNTS IN PHOTOCATALYTIC SYSTEMS

367

ELECTROPHOTOGRAPHY

368

Xerox Corp. (Stamford, CT)

368

INSTRUMENTS: ACTUATORS, MANIPULATORS AND PROBES

368

TABLE 120 U.S. CNT PATENT ACTIVITY INVOLVING ACTUATORS, INSTRUMENTS AND MANIPULATORS, 2007-JUNE 30, 2009 (NUMBER)

368

Commercial Developments in SPM/AFM CNT Probes

369

Carbon Design Innovations (Burlingame, CA)

370

Carbon Nanoprobes, Inc. (White Plains, NY)

370

Xidex Corp. (Austin, TX)

371

OIL RECOVERY

372

TABLE 121 U.S. PATENT ACTIVITY IN CNT ENHANCEMENTS IN OIL RECOVERY, 2007-SEPTEMBER 30, 2009 (NUMBER)

372

SECURITY

373

TABLE 122 LEADING ORGANIZATIONS INVOLVED IN VARIOUS CNT-BASED SECURITY APPLICATIONS

373

Bioterrorism and Explosives Detection

374

Stanford University

374

MIT

375

Body Armor and Smart Textiles

375

National Research Council Canada (Ottawa, Canada)

375

Nanocomp Technologies, Inc. (Concord, NH)

376

Q-Flo, Ltd. (Cambridge, U.K.)

376

Nico Technologies (Ann Arbor, MI)

377

RFID Tags

377

Alien Technology Corp. (Morgan Hills, CA)

378

Ambient Systems, B.V. (Enschede, Netherlands)

378

AMBIT Corp. (Ashland, MA)

379

Nantero Inc. (Woburn, MA)/Hewlett-Packard Specialty Printing Systems (San Diego, CA)

380

X-Ray Detection

380

American Science and Engineering, Inc. (Billerica, MA)

381

XinRay Systems, LLC (Research Triangle Park, NC)

381

POLISHING

382

Applied Materials, Inc. (Santa Clara, CA)

382

TECHNOLOGY PUSH

383

CNT COMMERCIAL PRODUCTION AND ESTIMATED SALES REVENUES

383

MWNTs

383

TABLE 123 CONFIRMED ANNUAL PRODUCTION COMMITMENT OF COMMERCIAL MWNTS: TIER 1 COMPANIES, 2009-2014 (METRIC TONS)

384

TABLE 124 UNCONFIRMED ANNUAL PRODUCTION COMMITMENT OF COMMERCIAL MWNTS: TIER 2 COMPANIES, 2009-2014 (METRIC TONS)

384

TABLE 125 GLOBAL MARKET FORECAST FOR MWNT PRODUCTION REVENUES, THROUGH 2014 ($ MILLIONS)

385

SWNTs

386

TABLE 126 UNCONFIRMED ANNUAL PRODUCTION COMMITMENT OF COMMERCIAL SWNTS: TIER 1 AND 2 COMPANIES, 2009-2014 (KG)

386

TABLE 127 MARKET FORECAST FOR SWNT PRODUCTION AND REVENUES: TIER 1 COMPANIES, THROUGH 2014

387

Other Specialty Grades

388

TABLE 128 FORECAST FOR SPECIALTY FWNTS PRODUCTION REVENUES, THROUGH 2014

388

Other Companies Influencing CNT Exploitation

388

TABLE 129 OTHER COMPANIES AIDING CNT COMMERCIALIZATION

389

Carbon Solutions, Inc.

390

NanoIntegris, Inc.

390

Brewer Science, Inc.

390

MARKET PULL

390

MARKET PROSPECTS FOR CNTS IN POLYMER COMPOSITES

391

AERONAUTICAL APPLICATIONS

391

AUTOMOTIVE APPLICATIONS

393

ELECTRONIC PACKAGING APPLICATIONS

395

FLAME-RETARDANT APPLICATIONS

395

INDUSTRIAL SEALS

395

SPORTS EQUIPMENT APPLICATIONS

396

OTHER COMPETITIVE FACTORS AND DEVELOPMENTS

397

MARKET PROSPECTS FOR CNTS IN OTHER MATRIX COMPOSITES

398

MARKET PROSPECTS FOR CNTS IN ELECTRONIC APPLICATIONS

399

ELECTRONIC/NANOELECTRONIC COMPONENTS

399

FE DISPLAYS AND RELATED DEVICES

400

FE Displays

400

TABLE 130 PROS AND CONS FOR CNT FE DISPLAY MARKET

401

MARKET CHALLENGES: COMPETITIVE TECHNOLOGIES AND MANUFACTURING COST

401

COMMERCIAL CHAMPIONS—WHO’S LEADING THE CHASE AND WHEN?

402

LIGHT BULBS AND LIGHT SOURCES

404

FLEXIBLE DISPLAYS AND ELECTRONICS

406

MEMORY APPLICATIONS

408

SENSORS

410

Alpha Szenszor, Inc. (Worcester, MA)

411

Applied Nanotech Holdings, Inc. (Austin, TX)

411

Nanomix, Inc. (Emeryville, CA)/Mystic MD, Inc. (Groton, CT)

411

MARKET PROSPECTS FOR CNTS IN ENERGY APPLICATIONS

412

BATTERIES

412

Market Prognosis

412

CNT Commercial Battery Developments

412

Micro Bubble Technologies, Inc. (South Korea)/Next Alternative, Inc. (Canada)

413

Other Potential Battery Developments

413

CAPACITORS

414

Market Prognosis of Commercial Development in CNT-Based Supercapacitors

414

Recent Patent Activity and Commercial Development in CNT-Based EDLCs

415

Arrowhead Research Corp./Agonn Systems, Inc. (Pasadena, CA)

415

Kemet Corp. (Greenville, SC)

415

Nisshinbo Holdings, Inc. (Tokyo, Japan)

416

Honda Motor Co., Ltd. (Tokyo, Japan)

416

FUEL CELLS

416

Recent Patent Activity and Commercial Development in CNT-Based Fuel Cells

417

Intematix Corp. (Fremont, CA)

417

Japan, Inc.

418

Neah Power Systems, Inc. (Bothel, WA)

418

Pacific Fuel Cell Corp. (Riverside, CA)

418

Show Denko KK (Japan)

419

UltraCell Corp. (Livermore, CA)

419

HYDROGEN STORAGE

420

SOLAR/PV CELLS

420

Ambit Corp. (Ashland, MA)

421

DuPont (Wilmington, DE)

421

Eikos, Inc. (Franklin, MA)

422

Konarka Technologies (Lowell, MA)

422

THERMIONIC POWER, RECTIFIERS AND MECHANICAL ENERGY STORAGE

422

MARKET PROSPECTS FOR CNTS IN OTHER APPLICATIONS

422

CATALYST SUPPORTS

422

INSTRUMENTS: ACTUATORS, MANIPULATORS AND PROBES

423

MEMBRANES AND SEPARATION TECHNOLOGY

423

SECURITY

425

RFID Tags

425

Alien Technology Corp. (Morgan Hills, CA)

425

Ambient Systems, B.V. (Enschede, Netherlands)

425

AMBIT Corp. (Ashland, MA)

426

Nantero Inc. (Woburn, MA)/Hewlett-Packard Specialty Printing Systems (San Diego, CA)

426

X-ray Detection

426

XinRay Systems, LLC (Research Triangle Park, NC)

426

APPENDIX

428

ACRONYMS AND ABBREVIATIONS