本文采用1998年至2010年中国A股上市公司的年度数据，将专利作为企业创新的代理变量，实证研究了企业创新活动的影响因素，从企业和国家的角度提出了相应的政策建议。对我国专利的历史沿革及现状进行了统计分析表明：我国的专利研究发展迅速，虽然与世界主要发达国家相比仍有差距，但已经达到世界领先水平。因此，加深对我国上市公司的专利研究行为的理解就变得至关重要。第一部分，实证研究了企业规模对专利产出的影响。实证结果表明：整体来看，规模越大、知识存量越多、创立时间越短、财务杠杆越小的公司，专利产出越多。从区域来看，东部的专利产出最多，而西部则强于中部。国有企业的发明专利显著少于非国有企业，而在实用新型专利和外观设计专利方面略有优势。市场集中度则与企业的专利产出总数呈现显著负相关关系，其中发明专利与市场集中度呈显著负相关，而外观设计专利与市场集中度呈显著正相关关系。引入企业规模的二次项之后，发明专利和实用新型专利与企业规模呈U型关系，而外观设计专利与公司规模呈倒U型关系。三种专利的专利密度都与企业规模呈U型关系，本文据此提出企业的创新发展路径假说。第二部分，实证研究了外部环境对专利产出的影响。实证结果表明：市场集中度与发明专利呈U型关系，而与实用新型专利和外观设计专利呈倒U型关系；知识产权保护程度与三种类型的专利均呈倒U型关系。通过倍差法探索了十一五规划对于上市公司专利研发行为的影响。发现在十一五规划中政府制定相对较高目标的地区，其上市公司的专利研发成果也相对较多，说明政府支持对企业专利研发有重要作用。第三部分，研究了所有制性质变化对专利产出的影响。实证结果表明：国有企业改制总体来看无论对于专利产出的数量还是效率，都有显著的正向影响。非国有企业改制的效果短期来看降低了专利的产出，而长期来看对专利的产出有促进作用。

This dissertation uses the patent as a proxy of firm innovation and conducts empirical analysis on determinants of firm innovation activities based on the Chinese A-share listed company data from 1998 to 2010. This dissertation also provides some relevant policy suggestions from perspectives of both firms and the country as a whole.The statistical analysis on the historical evolution and the current situation of China's patent research conducted in this dissertation reveals that although a gap in the patent research between China and the world's major developed countries still exists, the former has reached the world advanced level. Therefore, further understanding about studies on the patent of the Chinese A-share listed company becomes critical.The first part of this dissertation is the empirical analysis of the impact of firm size on patent output. The empirical results show that overall, the larger the firm size, the more knowledge stock possessed, the shorter the time of firm duration, the smaller the financial leverage, the more patent output that a firm will produce. From a regional perspective, the eastern part of China produces the largest amount of patent output, while the western part produces more than the middle part. The number of patents that the state-owned enterprises (SOEs) hold is significantly less than that of the non-SOEs. However, the SOEs possess a slight advantage in producing Utility Model Patent and Industrial Design Patent. The market concentration and the total patent output of firms have a significantly negative correlation, including a significantly negative correlation between Invention Patent and market concentration, as well as a significantly positive correlation between Industrial Design Patent and market concentration. After introducing the term of squared firm size, a U-shaped relationship exists between Invention Patent and firm size as well as between Utility Model Patent and firm size. At the same time, an inverted U-shaped relationship exists between Industrial Design Patent and firm size. The dissertation puts forward the hypothesis about innovation development path based on the U-shaped relationship that is shared by the density of these three types of patents and firm size.The second part of this dissertation carries out the empirical research on the impact of the external environment on patent output. The empirical results show that: a U-shaped relationship exists between market concentration and Invention Patent, while an inverted U-shaped relationship exists between Utility Model Patent and Industrial Design Patent. At the same time, an inverted U-shaped relationship exists between the degree of intellectual property protection and these three types of patents. This dissertation also explores the impact of the Eleventh Five-Year Plan on the patent development of the listed company using the DID method (Difference-in-Differences). I find that the listed company in the regions with a higher goals of patent development set by the Plan indeed generates more patent output, indicating that the government support for firms’ R&D plays an important role in patent development.The third part of this dissertation studies how the changes in firm ownership affect patent output. The empirical results show that on one hand, the change in SOEs ownership has a significantly positive impact on both the quantity and efficiency of patent output. On the other hand, the change in non-SOEs ownership reduces patent output in the short run while improves patent output in the long run.