Contract analysis

I. Purpose and Scope The purpose of this memorandum is to establish a uniform and comprehensive document review protocol governing the review, coding, privilege analysis, confidentiality designation, and production of all documents collected from Optiwave Semiconductor Corp. ("OWS") custodians in connection with the above-captioned litigation. This protocol is designed to ensure consistency, accuracy, and defensibili

1. Lumos Photonics, Inc.'s First Set of Requests for Production of Documents (Nos. 1–98), served November 7, 2022 (Appendix A);

2. OWS's First Set of Requests for Production of Documents to Lumos (Nos. 1–112), served November 21, 2022;

3. Stipulated Protective Order, entered September 2022 (Appendix C);

4. Litigation Hold Notice, dated June 1, 2022 (Appendix D);

5. ESI Search Terms and Custodian List Memorandum, dated September 2022 (Appendix B);

6. Privilege Log Template (Appendix E); and

7. Decision Log Template (Appendix F). Reviewers are expected to have read and understood the Lumos document requests, the Protective Order, and this memorandum before beginning any review work.

II. Document Collection Summary This section describes the custodians from whom documents have been collected, the data sources from which documents have been extracted, and the ESI processing parameters that have been applied to the collected data. A. Custodian List Documents have been collected from eight key custodians, as identified in the ESI Search Terms and Custodian List Memorandum dated September 2022. The c

1. Dr. Priya Ramanathan — Chief Executive Officer and Co-Founder of OWS. Dr. Ramanathan is a named inventor on U.S. Patent Nos. 10,234,567 (the "'567 Patent") and 11,045,678 (the "'678 Patent"). As CEO, Dr. Ramanathan has broad visibility into OWS's business operations, strategic direction, licensing activities, and investor communications. Her files are expected to contain both technical and business documents relev

2. Dr. Kevin Fong — Chief Technology Officer and Co-Founder of OWS. Dr. Fong is a named inventor on U.S. Patent Nos. 10,234,567 (the "'567 Patent"), 10,891,234 (the "'234 Patent"), and 11,312,890 (the "'890 Patent"). As CTO, Dr. Fong has led OWS's technology development efforts in silicon photonics and is expected to have extensive technical documents, design files, and engineering communications relevant to the pate

3. Dr. Amara Osei — Principal Engineer at OWS. Dr. Osei is a named inventor on U.S. Patent Nos. 10,891,234 (the "'234 Patent") and 11,045,678 (the "'678 Patent"). Dr. Osei's files are expected to contain detailed technical design documents, simulation results, lab notebooks, and engineering team communications related to the development of the patented technologies.

4. Theodore "Ted" Marchetti — Vice President of intellectual Property at OWS. Mr. Marchetti is a registered patent attorney with the United States Patent and Trademark Office (USPTO Reg. No. 58,304). In his role as VP of IP, Mr. Marchetti oversees OWS's patent portfolio, patent prosecution activities, and IP strategy. His files are expected to include patent prosecution records, licensing correspondence, IP strategy

5. Sandra Ellison — General Counsel of OWS. Ms. Ellison serves as OWS's chief legal officer and is responsible for all legal matters, including litigation oversight, regulatory compliance, and corporate governance. Her files are expected to contain privileged communications related to the litigation, communications with outside counsel, board communications regarding litigation authorization, and general legal corres

6. Rajesh Iyer — Circuit Designer at OWS. Mr. Iyer is a named inventor on U.S. Patent No. 11,312,890 (the "'890 Patent"), which relates to driver circuit architecture for high-speed silicon photonic Mach-Zehnder modulators. Mr. Iyer's files are expected to contain circuit design documents, simulation files, and engineering communications related to the '890 Patent and OWS's driver circuit technology.

7. Liwei Zhang — Design Engineer at OWS. Mr. Zhang is a named inventor on U.S. Patent No. 11,045,678 (the "'678 Patent"), which relates to multi-channel optical transceiver technology with integrated wavelength division multiplexing. Mr. Zhang's files are expected to include design documents, schematics, and engineering correspondence related to the '678 Patent and OWS's transceiver products.

8. Hideo Tanaka — Former OWS Engineer (employed 2016–2019). Mr. Tanaka is a named inventor on U.S. Patent No. 10,234,567 (the "'567 Patent"). Notably, Mr. Tanaka is also the named inventor on U.S. Patent No. 9,456,012, which is prior art cited by Lumos in its invalidity contentions against the '567 Patent. Mr. Tanaka's files are expected to contain documents relevant to both the development of the '567 Patent and the

1. OWS Email System. Email communications for all eight custodians have been collected from OWS's Strathmore Data Systems-based email system. The collection covers the date range of January 1, 2016 through the present. Email collections include all messages in each custodian's inbox, sent items, deleted items (to the extent recoverable), and any archived folders. Email attachments have been collected as family member

2. OWS Shared Drives and Document Management System. Documents have been collected from OWS's networked shared drives and document management system ("DMS"), including departmental shared folders for the Engineering, R&D, IP, Legal, Finance, and Business Development departments. These collections capture documents that may not have been communicated via email but that are stored on OWS's centralized file servers and

3. Patent Prosecution Files. Complete patent prosecution files have been collected for the four asserted patents, as maintained by Ted Marchetti and the OWS IP department. These files include the complete file histories for the following patents: • U.S. Patent No. 10,234,567 — "Integrated Waveguide Coupler with Tapered Mode Converter" (the "'567 Patent"); • U.S. Patent No. 10,891,234 — "Germanium-on-Silicon Photodete

4. Engineering and R&D Files. Technical engineering and research and development files have been collected from the custodians and from OWS's engineering shared drives. These files include design documents, laboratory notebooks (both physical notebooks that have been scanned and digitized and electronic lab notebooks), circuit schematics, simulation files (including FDTD, TCAD, and SPICE simulation outputs), layout f

5. Business Records. Business records have been collected from relevant custodians and shared drives, including documents related to licensing discussions (both inbound and outbound), competitive intelligence reports and analyses, market analysis and sizing reports, product roadmaps, customer communications, and sales and marketing materials. These documents are relevant to Lumos's document requests directed at licen

6. Communications with Pinnacle Semiconductor Foundry Co., Ltd. Documents reflecting communications between OWS personnel and Pinnacle Semiconductor Foundry Co., Ltd. ("Pinnacle"), OWS's contract foundry located in Hsinchu, Taiwan, have been collected. Pinnacle fabricates OWS's silicon photonics chips on a 45nm silicon-on-insulator ("SOI") process. These communications are relevant to the manufacturing process compar

7. Communications with Clearpath IP Valuation Services, Inc. Documents reflecting communications between OWS personnel and Jennifer Armitage of Clearpath IP Valuation Services, Inc. ("Clearpath") regarding a pre-litigation patent portfolio valuation have been collected. Clearpath conducted a valuation of OWS's patent portfolio, assigning an aggregate value of approximately $215 million to the portfolio and a value of

8. Communications with First Pacific Commerce Bank, N.A. Documents reflecting communications between OWS personnel and First Pacific Commerce Bank, N.A. ("FPCB"), OWS's primary lender, have been collected. OWS maintains a $40 million revolving credit facility with FPCB, secured by a lien on OWS's intellectual property assets, including the four asserted patents. These communications may be responsive to Lumos's docum

III. Responsiveness Coding Categories This section describes the coding categories that reviewers must apply to each document during the first-level review. The coding scheme consists of two components: (1) a primary responsiveness code, which classifies the document's overall responsiveness to Lumos's document requests and OWS's disclosure obligations; and (2) subject matter coding tags, which identify the specific

IV. Privilege Review Workflow The protection of OWS's privileged communications is of paramount importance. An inadvertent production of privileged material could result in waiver of privilege and cause significant harm to OWS's position in this litigation. Accordingly, all reviewers must exercise heightened care in identifying and coding potentially privileged documents. This section describes the applicable privile

1. Bates Range or Document ID. The unique document identifier assigned to the withheld or redacted document. For documents withheld in their entirety, the Bates range that would have been assigned is used. For redacted documents, the Bates range of the produced (redacted) version is used.

2. Date. The date of the document. For undated documents, enter "Undated" and provide an estimated date range if possible.

3. Author(s) / From. The author of the document or the sender of the communication, identified by name and title/role.

4. Recipient(s) / To / CC. All recipients of the communication, including To, CC, and BCC recipients, identified by name and title/role. For documents that are not communications (e.g., memoranda, notes), identify the intended audience if known.

5. Document Type. The type of document (e.g., email, memorandum, letter, handwritten notes, presentation, report).

6. General Subject Matter Description. A description of the general subject matter of the document that is sufficient to support the privilege claim without revealing privileged content. The description should be specific enough to allow the opposing party and the Court to evaluate the privilege assertion but should not disclose the substance of the legal advice or work product.

7. Privilege(s) Asserted. Identification of the specific privilege(s) asserted: Attorney-Client Privilege (ACP), Attorney Work Product (AWP), or both (ACP/AWP).

8. Basis for Privilege Assertion. A brief statement of the basis for the privilege assertion, including identification of the attorney involved, the nature of the legal advice or work product, and any other relevant facts supporting the privilege claim. The privilege log template is attached as Appendix E. Christy Bauer is responsible for maintaining the rolling privilege log and for ensuring that all privilege log e

V. Confidentiality Designation Guidelines This section provides guidance on the application of confidentiality designations to OWS documents in accordance with the Stipulated Protective Order entered by the Court in September 2022. Proper designation of documents is essential to protecting OWS's confidential business information and trade secrets while also complying with the Protective Order's requirement that desig

VI. Quality Control Procedures The quality and consistency of the document review are essential to the defensibility of OWS's discovery responses and to the efficient prosecution of this case. This section describes the quality control procedures that will be implemented throughout the review process, including sampling, consistency checks, and the hot document escalation protocol. A. Sampling Protocol Random quality

1. Any document coded as "Responsive — Hot Document" must be immediately forwarded to Omar Siddiqui, along with a brief summary (two to three sentences) explaining why the document has been coded as a hot document and identifying the specific issue or concern that the document